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TABLE OF CONTENTS Chapter 1: Introduction 1-1

• Purpose and Scope of These Guidelines 1-1 • How To Use These Guidelines 1-3 • Other Resources 1-4 • Sources of Additional Information and Other Published Documentation 1-9 • FMCSA Service Centers 1-13 • FMCSA Division Offices 1-17

Terms and Definitions 1-21 Chapter 2: Regulatory Overview 2-1 Drivers Waived From Obtaining a Commercial Driver’s License 2-17 Chapter 3: Policy Development and Communication 3-1 Example of a Certificate of Receipt 3-15 Chapter 4: Education and Training 4-1 Signs and Symptoms of Alcohol and Controlled Substances Use 4-7

• Detection Periods 4-9 • Alcohol Fact Sheet 4-11 • Amphetamine Fact Sheet 4-17 • Cocaine Fact Sheet 4-21 • Cannabinoids (Marijuana) Fact Sheet 4-25 • Opiates (Narcotics) Fact Sheet 4-29 • Phencyclidine (PCP) Fact Sheet 4-33

Chapter 5: Types of Testing 5-1

• Pre-Employment Testing 5-1 • Reasonable Suspicion Testing 5-7 • Post-Accident Testing 5-10 • Random Testing 5-13 • Return-To-Duty Testing 5-19 • Follow-Up Testing 5-20 • Proficiency Testing 5-20

Terms and Definitions 5-27 Flow Charts 5-29 Random Testing Pools 5-39 Manual Random Sampling Technique 5-43 Sample Forms 5-51

• Release of Information Form 5-53 • Release and Documentation of Pre-Employment Testing Information 5-55

by Applicant/Driver Required by Part 40.25(j) • Controlled Substances Test Results Notification Form 5-56 • Pre-Employment Urinalysis and Breath Analysis Consent Form 5-57

• Pre-Employment Verification 382.301(c)(1) 5-58 • Alcohol and Controlled Substances Accident Testing Report 5-59 • Random Testing Documentation Form 5-61 • Observed Behavior-Reasonable Suspicion Record 5-65

Chapter 6: Controlled Substances Testing Procedures 6-1

• Specimen Collection 6-2 • Laboratory Testing 6-11 • Medical Review Officer 6-12 • Substance Abuse Professional (SAP) 6-18

Collection Site Checklist 6-25 Driver Specimen Collection Checklist 6-35 Terms and Definitions 6-39 Sample Custody and Control Form 6-45 Chapter 7: Alcohol Testing Procedures 7-1

• Obtaining Program Services 7-1 • Alcohol-Related Conduct 7-12 • Dry Run of the Program 7-13

Conforming Products List • Alcohol Screening Devices 7-19 • Evidential Breath Testing Devices 7-20 • Evidential Breath Tester Calibration Devices 7-25

Breath Alcohol Testing Form 7-29 Terms and Definitions 7-37 Chapter 8: Employee Assistance Programs, Rehabilitation, and Treatment 8-1

• Employee Assistance Programs 8-2 • Rehabilitation and Treatment 8-12

Sample – Request for Bid for Employee Assistance Program Services 8-17 Chapter 9: Administration 9-1

• Recordkeeping 9-1 • Documentation 9-2 • Confidentiality 9-3 • Testing Laboratory Procedures 9-5 • Annual Calendar Year Summary 9-6

Record Retention Checklists 9-13 Chapter 10: Joining a Consortium 10-1

• Advantages of Consortia 10-2 • Additional Considerations in Establishing Consortia 10-5 • Types of Consortia 10-6 • The Importance of Your Consortium Contract 10-8 • How To Explore Consortia Further 10-11

Introduction1 - 1

Chapter 1.

INTRODUCTION

Section 1. PURPOSE ANDSCOPE OF THESE GUIDELINES

The Federal Motor Carrier Safety

Administration (FMCSA) recognizes that

controlled substances use and alcohol misuse

affect everyone in the United States in one way

or another. In response to passage of the

Omnibus Transportation Employee Testing Act

of 1991, the FMCSA has published regulations

prohibiting controlled substances use and

alcohol misuse and modified other current

regulations. The current regulation is 49 CFR

part 382, “Controlled Substances and Alcohol

Use and Testing,” which replaced 49 CFR part

391, subpart H, “Controlled Substances

Testing.” In addition, the Department of

Transportation (DOT) has issued 49 CFR part

40, “Procedures for Transportation Workplace

Drug and Alcohol Testing Programs,” which

prescribes testing methods to be followed.

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To assist employers (motor carriers) in

implementing those regulations, the FMCSA

has developed these guidelines. The ultimate

goal for the FMCSA and the commercial

motor vehicle (CMV)* industry is to achieve

a controlled substance and alcohol-free work

force in the interest of the health and safety

of employers, employees, and the public.

These guidelines are the FMCSA’s

“small entity compliance guide” for purposes

of the Contract With America Advancement

Act of 1996 (Pub. L. 104-121, Title II,

Subtitle A, March 29, 1996). Under this act,

the content of this small entity compliance

guide is not subject to judicial review but

may be considered as evidence of the

reasonableness or appropriateness of any

proposed fines, penalties, or damages in an

FMCSA civil or administrative action.

These guidelines are written as if an

employer has no controlled substances and/or

alcohol testing program already in place.

They provide a logical sequence for

implementing the various elements of a

successful program and contain examples of

documents, checklists, forms, and procedures

that may be used by individual employers in

formulating their programs. The following

required elements of a controlled substances

use and alcohol misuse program are

discussed:

· Policy and procedure development

· Driver education and supervisortraining

· Urine specimen collection and testing

· Breath and saliva sample collection andtesting

· Recordkeeping and reporting.

As an employer (motor carrier), you

may go beyond these requirements to

incorporate additional features (such as

employee assistance programs) that are not

mandated by FMCSA regulations. However,

you must make clear that any features you

add are not part of the FMCSA-mandated

program and will be conducted under other

applicable authority, not the FMCSA’s. For

example, if you test for controlled substances

other than the five that the FMCSA specifies,

you must make the employees aware that

they are being tested for those additional

controlled substances under your authority,

not the FMCSA’s. You must collect separate

specimens for analysis, and you must not use

the Federal Drug Testing Custody and

Control Form.

*Note: The term “Commercial Motor Vehicle” or “CMV” as used in this document isdefined in the appendix of this chapter, page 1-22.

Introduction1 - 3

Employers Domiciled in the United States

For employers domiciled in the United

States, the rules require testing to have begun

by January 1, 1996.

If you begin your highway

transportation operations after January 1,

1996, you must start your testing program on

the day you begin transportation operations.

The development of policies and procedures,

including preemployment testing, must be

completed prior to the date you begin

transportation operations.

Employers Domiciled in Foreign Countries

For employers domiciled in foreign

countries that operate in the United States, the

rules require testing to have begun by July 1,

1997. If you began your highway

transportation operations in the United States

after July 1, 1997, you must start your testing

program on the day you begin operations in the

United States. The development of policies

and procedures, including preemployment

testing, must be completed prior to the day you

begin operations in the United States.

Section 2. HOW TO USE THESEGUIDELINES

These guidelines are a ready reference

for those in the CMV industry that must

formulate and implement programs to control

substance abuse. They are organized by

subject, and each subject is addressed in the

general order that it would be encountered in

the actual formulation and implementation of a


program.

Each major subject is discussed in a

separate section. Sample documents, forms,

terms and definitions, and checklists are provided

in the appendix at the end of each chapter. These

materials were designed to help employers meet

the minimum regulatory requirements contained

in 49 CFR parts 40 and 382.

These guidelines do not take precedence

over or alter any requirement established under

FMCSA or DOT regulations.

In certain cases, the information in this

document goes beyond the regulatory

minimum and covers additional aspects of a


program that are considered helpful in

developing a comprehensive program. It is the

option of each employer to implement a

program that goes beyond the regulatory

minimum.

To assist you in differentiating between

program elements required by regulation and

optional suggestions for maximizing program

effectiveness, certain key words are used

throughout the text (see the box on next page).

Introduction 1 - 4

Regulatory Text

Statements in this manual that refer toregulatory requirements contain thewords “shall” or “must” (e.g., “Asubstance abuse management programshall include a policy statement”).Program elements not explicitly requiredby regulations, but suggested as an integralpart of successful implementation, aregenerally addressed using the word“should.” Optional elements, or thoseprogram features that have severalacceptable alternatives, are normallyexpressed by use of the word “may.”

Section numbers from the regulations are also

used to more clearly define regulatory

requirements. For example, §382.103 means

that this regulation is specifically mentioned in

49 CFR part 382, section 103; and, in a similar

manner, §40.25 references 49 CFR part 40,

section 25.

Section 3. OTHER RESOURCES

While every attempt has been made to

make these guidelines as complete and self-

supporting as possible, additional published

material is available. Where appropriate, these

additional resources are identified.

The appendix at the end of this chapter

contains a list of sources of additional

information that you may wish to acquire as

you begin developing your controlled

substances use and alcohol misuse program.

FMCSA division offices located

throughout the United States are listed in the

appendix for additional information. Division

offices should be consulted for specific

guidance applicable to an employer’s program

implementation and for any updates and

amendments to the these regulations and

guidance.

To access FMCSA or the DOT’s Office of

Drug and Alcohol Policy and Compliance on

the web, go to:

www.fmcsa.dot.gov

www.dot.gov/ost/dapc

FMCSA does not maintain lists of trade

associations, unions, or insurance companies,

but these can be good sources of additional

information.

If you want additional copies of these

guidelines, you may reproduce as many copies

as you need.

Introduction1 - 5

Chapter 1 Appendix

Introduction 1 - 6

Page Intentionally Left Blank

Introduction1 - 7

Sources of Additional Informationand Other Published Documentation

Introduction 1 - 8


Introduction1 - 9


Drug Testing Procedures Handbook

Urine Specimen Collection Procedures Guidelines

Substance Abuse Professional Procedures Guidelines

Drug & Alcohol Abuse Prevention and the ADA: An

Employer’s Guide

Random Drug Testing Manual

Breath Alcohol Technician and Screening Test

Technician Training Curricula (Teacher and StudentGuide)

Alcohol and Drug Testing Regulations

49 CFR parts 40 and 382

A central information and referral service for technical

support, printed materials, audiovisuals, and

networking.

U.S. Dept. of TransportationOffice of Drug and Alcohol Policy and Compliance400 Seventh Street, S.W. Room 10317Washington, DC 20590Phone (202) 366-DRUGFax On Demand: (800) 225-(DRUG)

The Institute for a Drug-Free WorkplaceEast Tower Suite 10101301 K Street, N.W.Washington, DC 20005Phone: (202) 842-7400Fax: (202) 842-0011

Office of Safety & SecurityFederal Transit Administration400 Seventh Street, S.W. Room 6432Washington, DC 20590

Order by Mail:Superintendent of DocumentsP.O. Box 371954Pittsburgh, PA 15250-7954Order by Telephone or Fax:Phone: (202) 512-1800Fax: (202) 512-2250

National Clearinghouse for Alcohol and Drug InformationP.O. Box 2345Rockville, MD 20847-2345(800) 729-6686 (outside Maryland and DC area)(301) 468-2600 (DC and Maryland)

Introduction 1 - 10


Toll-Free Information Lines

Collection Sites, Consortia, Medical Review Officers

Various Materials

Alcoholics Anonymous— (800) 356-9996American Council on AlcoholismHelpline—(800)527-5433Cocaine Hotline— (800) COCAINENational Council on Alcoholism— (800) NCA-CALLNational Institute on Drug AbuseHotline— (800) 662-HELPNational Institute on Drug AbuseHelpline— (800) 843-4971

National Association of Collection Sites (800) 355-1257Substance Abuse Program Administrators Association— (615) 834-8288American Association of Medical Review Officers— (919) 489-5407American College of Occupational & Environmental Medicine, Medical Review Officer Certification Council (708) 228-6850American Society of Addiction Medicine (301) 656-3920

(Check local listings)• State and local governments• State and local truck & motor coach associations• State and local employee counseling programs

Introduction1 - 11

FMCSA Service Centers

Introduction 1 - 12


Introduction1 - 13

Eastern Service Center: CT, DE, MA, MD, ME, NH, NJ, NY, PA, VA, VT, WV

802 Cromwell Park drive Phone: (443) 703-2240Suite N Fax: (443) 703-2253Glen Burnie, MD 21061

Midwestern Service Center: IA, IL, IN, KS, MI, MN, MO, NE, OH, WI

19900 Governors Drive Phone: (708) 283-3577Suite 210 Fax: (708) 283-3579Olympia Fields, IL 60461

Southern Service Center: AL, AR, FL, GA, KY, LA, MS, NC, NM, OK, SC, TN, TX

61 Forsyth Street S.W. Phone: (404) 562-3600Suite 17T75 Fax: (404) 562-3704Atlanta, GA 30303

Western Service Center: AK, AZ, CA, CO, HI, ID, MT, ND, NV, OR, SD, UT, WA, WY

201 Mission Street Phone: (415) 744-3088Suite 2100 Fax: (415) 744-2665San Francisco, CA 94105

FMCSA Service Centers

Introduction 1 - 14


Introduction1 - 15

FMCSA Division Offices

Introduction 1 - 16


Introduction1 - 17


State City Phone Fax

Alabama Montgomery (334) 223-7244 (334) 223-7700Alaska Anchorage (907) 271-4068 (907) 271- 4069Arizona Phoenix (602) 379-6851 (602) 379-3627

Douglas (520) 364-6422 (520) 364-6456Nogales (520) 761-4419 (520) 761-3093San Luis (928) 627-1336 (928) 627-1770

Arkansas Little Rock (501) 324-5050 (501) 324-6562California Sacramento (916) 930-2760 (916) 930-2278

Calexico (760) 768-7300 (760) 768-6423Ontario (909) 937-2949 (909) 390-5642San Diego (619) 710-8400 (619) 710-2804

Colorado Denver (303) 969-6748 (303) 969 6741Connecticut Glastonbury (860) 659-6700 (860) 659-6725Delaware Dover (302) 734-8173 (302) 734-5380District of Columbia Washington (202) 219-3553 (202) 219-3546Florida Tallahassee (850) 942-9338 (850) 942-9680Georgia Atlanta (404) 562-3620 (404) 562-3704Hawaii Honolulu (808) 541-2700 (808) 541-2702Idaho Boise (208) 334-1842 (208) 334-1046Illinois Springfield (217) 492-4608 (217) 492-4986Indiana Indianapolis (317) 226-7474 (317) 226-5657Iowa Ames (515) 233-7400 (515) 233-7494Kansas Topeka (913) 267-7288 (913) 267-7290Kentucky Frankfort (502) 223-6779 (502) 223-6767Louisiana Baton Rouge (225) 757-7640 (225) 757-7636Maine Augusta (207) 622-8358 (207) 622-8477Maryland Baltimore (410) 962-2889 (410) 962-3916Massachusetts Cambridge (617) 494-2770 (617) 494-2783Michigan Lansing (517) 377-1866 (517) 377-1868Minnesota Minneapolis (651) 291-6150 (651) 291-6001Mississippi Jackson (601) 965-4219 (601) 965-4674Missouri Jefferson City (573) 636-3246 (573) 636-8901Montana Helena (406) 449-5304 (406) 449-5318Nebraska Lincoln (402) 437-5986 (402) 437-5146Nevada Carson City (775) 687-5335 (775) 687-3803New Hampshire Concord (603) 228-3112 (603) 228-0390New Jersey Trenton (609) 637-4222 (609) 538-4913

Little Falls (973) 357-4134 (973) 357-4099New Mexico Albuquerque (505) 346-7858 (505) 346-7859

Introduction 1 - 18


State City Phone Fax

New York Albany (518) 431-4145 (518) 431-4140Buffalo (716) 551-4701 (716) 551-3312New York City (212) 668-2130 (212) 668-2133Syracuse (315) 448-0311 (315) 448-0313

North Carolina Raleigh (919) 856-4378 (919) 856-4369North Dakota Bismarck (701) 250-4346 (701) 250-4389Ohio Columbus (614) 280-5657 (614) 280-6875Oklahoma Oklahoma City (405) 605-6047 (405) 605-6176Oregon Salem (503) 399-5775 (503) 399-5838Pennsylvania Harrisburg (717) 221-4443 (717) 221-4552

King of Prussia (610) 992-8680 (610) 992-8685Pittsburgh (412) 395-6935 (412) 395-5078Scranton (570) 346-4949 (570) 821-4080

Puerto Rico Hato Rey (787) 766-5985 (787) 766-5015Rhode Island Providence (401) 431-6010 (401) 431-6019South Carolina Columbia (803) 765-5414 (803) 765-5413South Dakota Pierre (605) 224-8202 (605) 224-1766Tennessee Nashville (615) 781-5781 (615) 781-5755

Jackson (731) 424-9332 (731) 424-0783Texas Austin (512) 536-5980 (512) 916-5980

Brownsville (956) 541-5894 (956) 982-0741Eagle Pass (830) 757-6749 (830) 757-9097El Paso (915) 593-8574 (915) 594-8857Fort Worth (817) 978-3225 (817) 978-4666Laredo (956) 712-1385 (956) 723-1479McAllen (956) 683-0181 (956) 683-7280Roma (956) 847-7209 (956) 847-7409

Utah Salt Lake City (801) 963-0096 (801) 963-0096Vermont Montpelier (802) 828-4480 (802) 828-4424Virginia Richmond (804) 771-8585 (804) 771-8681Washington Olympia (360) 753-9875 (360) 753-9024West Virginia Charleston (304) 347-5935 (304) 347-5617Wisconsin Madison (608) 829-7530 (608) 829-7540Wyoming Cheyenne (307) 722-2305 (307) 772-2905

Introduction1 - 19

Terms and Definitions Used in Chapter 1

Introduction 1 - 20


Introduction1 - 21

Terms and Definitions

Alcohol The intoxicating agent in beverage alcohol, ethyl alcohol, or other lowmolecular weight alcohols, including methyl and isopropyl alcohol.

Alcohol Use The drinking or swallowing of any beverage, liquid mixture, orpreparation, including any medication, containing alcohol.

Commercial Driver’s License(CDL) A license issued by a State or other jurisdiction, in accordance with the

standards contained in 49 CFR part 383, authorizing an individual tooperate a class of commercial motor vehicle (CMV). The individualsrequired to have a CDL under 49 CFR part 383 are subject to controlledsubstances and alcohol testing. Individuals who are required to possessCDLs by virtue of State or local law or by employer policy, but not byFederal regulation, are not subject to the provisions of 49 CFR parts 382and 383

Commercial Motor Vehicle(CMV) A motor vehicle or combination of motor vehicles used in commerce to

transport passengers or property if the motor vehicle

(a) Has a gross combination weight rating (GCWR) of 11,794kilograms or more (26,001 pounds or more) inclusive of a towedunit, with a gross vehicle weight rating (GVWR) of more than 4,536kilograms (10,000 pounds); or

(b) Has a GVWR of 11,794 kilograms or more (26,001 pounds ormore); or

(c) Is designed to transport 16 or more passengers, including the driver;or

(d) Is of any size and is used in the transportation of materials found tobe hazardous for the purposes of the Hazardous MaterialsTransportation Act and is required the to be placarded under theHazardous Materials regulations (49 CFR part 172, subpart F).

Consortium/Third PartyAdministrator (C/TPA) A service agent that provides or coordinates one or more drug and/

or alcohol testing services to DOT-regulated employers. C/TPAstypically provide or coordinate the provision of a number of suchservices and perform administrative tasks concerning the operation ofthe employers’ drug and alcohol testing programs. This term includes,but is not limited to, groups of employers that join together toadminister, as a single entity, the DOT drug and alcohol testing programsof its members (e.g., having a combined random testing pool). C/TPAsare not employers under the rules.

Controlled Substances For the purposes of these guidelines, the terms “drugs” and

Introduction 1 - 22

“controlled substances” are interchangeable and have the samemeaning. The DOT is testing only for the following five controlledsubstances: marijuana (THC), cocaine, opiates, phencyclidine(PCP), and amphetamines (including methamphetamines).

Designated EmployerRepresentative (DER) An individual identified by the employer as able to receive

communications and test results from service agents and who isauthorized to take immediate actions to remove employees fromsafety-sensitive duties and to make required decisions in the testingand evaluation processes. The individual must be an employee ofthe company. Service agents cannot serve as DERs.

Driver Any person (volunteer or paid) who operates a CMV and is requiredto have a CDL. This includes, but is not limited to,

Full-time, regularly employed driversLeased driversIndependent owner-operator contractors (employeddirectly or leased)Casual, intermittent, or occasional drivers.

Drug See Controlled Substances.

Employee See Driver.

Employer (or Motor Carrier) Any person engaged in a business affecting interstate commercewho owns or leases a commercial motor vehicle in connection withthat business, or assigns employees to operate it, but such terms doesnot include the United States, any State, any political subdivision ofa State, or an agency established under a compact between Statesapproved by the Congress of the United States.

FMCSA Federal Motor Carrier Safety Administration.

FRA Federal Railroad Administration.

Gross Combination Weight Rating The total value specified by the manufacturer(s) of the vehicle asthe loaded weight of two or more vehicles. In the absence of avalue specified by the manufacturer, it will be determined by addingthe gross vehicle weight rating of the power unit to the total weightof the towed unit and any load thereon.

Gross Vehicle Weight Rating The value specified by the manufacturer of the vehicle as the loadedweight of a single vehicle.

Introduction1 - 23

Seating Capacity orDesigned to Transport The value specified by the manufacturer of the vehicle as the

maximum number of persons that may sit in a single vehicle. Acommercial motor vehicle that is altered by removing seats continues tobe a commercial motor vehicle until the vehicle’s seating capacitycertification plate is replaced by a manufacturer.

Service Agent Any person or entity, other than an employee of the employer, thatprovides services specified under the regulations to employers and/oremployees in connection with DOT drug and alcohol testingrequirements.

Stand-Down The practice of temporarily removing an employee from theperformance of safety-sensitive functions based only on a report from alaboratory to the medical review officer (MRO) of a confirmedpositive test, an adulterated test, or a substituted test, before the MROhas completed verification of the test results.

Complete definitions of terms used in parts 40 and 382 may be found in §40.3 and §382.107.

Introduction 1 - 24


Regulatory Overview2 - 1

Chapter 2.REGULATORY OVERVIEW

Implementing portions of the FMCSA–

required controlled substances use and alcohol

misuse program may require you to modify

existing substance abuse policies and programs

or, in some cases, develop entirely new

programs. The critical program element will

be to test drivers in positions that require the

driver to drive CMVs and perform attendant

safety-sensitive functions. It is in this context

that you must formulate controlled substances

and alcohol policies, communicate them to

your drivers, and conduct testing. The goals of

these activities are to enhance worker

productivity and safety and ensure positive

acceptance of the program. In keeping with the

stated objective of enhancing productivity and

safety, you are encouraged to make your


program an integral part of your overall safety

program.

Regulatory Overview 2 - 2

Section 1. WHAT THEREGULATIONS REQUIRE

The FMCSA regulations require that the

following program elements be implemented or

updated:

• A policy statement on controlled

substances use and alcohol misuse in

the workplace (see Chapter 3, “Policy

Development and Communication”)

• Supervisor education and training

program (see Chapter 4, “Education

and Training”)

• A controlled substances and alcohol

testing program for persons, used in

duties requiring the driving of CMVs

(see Chapters 5, “Types of Testing,”

6, “Controlled Substances Testing

Procedures,” and 7, “Alcohol Testing

Procedures”)

• Evaluation of the driver who has

violated the controlled substances

and alcohol regulations (see Chapter

8, “Employee Assistance Programs,

Rehabilitation, and Treatment”)

• Administrative procedures for

recordkeeping, reporting, releasing

information, and certifying

compliance (see Chapter 9,

“Administration”).

Who Must Participate

These regulations apply to both

employers and drivers of CMVs. An employer

(also known as a motor carrier) is any person

who owns or leases a CMV or assigns persons

to operate such a vehicle (including the United

States, a State, or the District of Columbia,

(§383.5), but not including U.S. territories such

as Guam, Puerto Rico, and the U.S. Virgin

Islands). A driver is any person who operates a

CMV in commerce and is subject to

commercial driver’s license (CDL)

requirements (§382.103). The exemptions

mentioned in parts 390 and 391 are not

applicable to this program.

This definition also includes any

employers who employ themselves as drivers.

An employer who employs only himself/herself

must comply with both the requirements that

apply to both employers and to drivers. He/she

must be part of a random testing pool of two or

more persons.

The FMCSA regulations do not apply to

employers and their drivers

(1) Who are required to comply with the

Federal Transit Administration’s

(FTA) alcohol and controlled


substance testing (49 CFR parts 653

and 654).

(2) Whom a State must waive from the

Federal CDL requirements (part 383).

These individuals include active duty

military personnel, members of the

Reserves; National Guard on active

duty, including personnel on full-time

National Guard duty, personnel on

part-time National Guard training;

and National Guard military

technicians (civilians who are

required to wear military uniforms);

and active duty U.S. Coast Guard

personnel, but not U.S. Reserve

technicians (for more information,

see “Drivers Waived from Obtaining

a Commercial Driver’s License” in

the appendix).

(3) Whom a State has, at its discretion,

waived from the requirements of the

Federal CDL requirements. These

individuals may include the

following:

(i) Operators of a farm vehicle that is

(a) Controlled and operated

by a farmer;

(b) Used to transport either

agricultural products, farm

machinery, farm supplies, or

all three to or from a farm;

(c) Not used in the operations

of a common or contract motor

carrier; and

(d) Used within 150 miles of

the person’s farm.

(ii) Firefighters or other persons who

operate CMVs that are necessary for

the preservation of life or property or

the execution of emergency

governmental functions, are equipped

with audible and visual signals, and

are not subject to normal traffic

regulation (for more information, see

“Drivers Waived from Obtaining a

Commercial Driver’s License” in the

appendix).

Some drivers are covered by more than

one DOT agency (multimodal coverage). In

most cases, the drivers are tested based on the

tasks they perform the majority of the time.

Employees Who Are Affected

All drivers who drive CMVs must be

included in your alcohol misuse and controlled

substances use program. No other employees

may be included. Although this sounds like a

simple distinction, it is important to understand

the definitions of “driver” and “safety-sensitive

function.”

“Driver” means anyone who operates a

CMV, whether full-time, part-time, casual,

intermittent, occasional, volunteer, leased, or

independent. Independent drivers are included


whether they are directly employed or under

lease and whether they operate their own CMV

or one of yours. As long as an independent

driver is operating at your direction, he/she

must be included in your program. Other

employees who may not have the title of driver,

but who sometimes operate a CMV, also must

be included in your program. These may

include maintenance workers, supervisors,

clerks, and possibly even the president of your

company. “Safety-sensitive functions” are

tasks performed by CMV drivers that are

applicable to prohibited conduct, testing, and

consequences under these alcohol and drug

testing regulations. See table 2.1 for a

complete description of the various safety-

sensitive functions.

Multimodal Coverage

In general, a person is subject only to

one DOT agency rule at any point in time. The

employer, however, may be subject to more

than one DOT rule. Any employer that is

subject to more than one DOT rule must

determine when each rule is applicable.

Policy Statement

You must adopt a policy on substance

abuse in the workplace (§382.601). Among

other items, the policy must

• Identify which categories of drivers

are subject to testing

• Describe prohibited behavior

• Describe testing procedures

• Describe consequences for violating

the controlled substances and alcohol

regulations.

A detailed discussion of the specific

requirements of the controlled substances and

alcohol program policy statement is provided

in Chapter 3, “Policy Development and

Communication.”

Education and Training

You must provide to all drivers

educational materials that explain the

requirements of your policies and procedures

for the FMCSA controlled substances and

alcohol testing regulations (§382.601).

Information on the effects and consequences of

substance abuse on personal health, safety, and

the work site, as well as indicators of substance

abuse, must be provided.

Driver supervisors must receive

additional training on the physical, behavioral,

and performance indicators of controlled

substances use or alcohol misuse to determine

when drivers must be tested under reasonable

suspicion (§382.603). Chapter 4, “Education

and Training,” provides greater detail on the


training and information requirements for

employees and supervisors.

Testing

You must establish a controlled

substances and alcohol (part 382, subpart C)

testing program that follows FMCSA

regulations for controlled substances testing

(Chapter 6, “Controlled Substances Testing

Procedures”) and alcohol testing (Chapter 7,

“Alcohol Testing Procedures”). The types of

tests are

• Preemployment (required for

controlled substances only,

optional for alcohol)

• Reasonable suspicion

• Post-accident

• Random

• Return-to-duty

• Follow-up.

Each of these tests is described in detail in

Chapter 5, “Types of Testing.”

It is very important that your employees

and supervisors understand the definitions of

“driver” and “safety-sensitive” as used in the

context of your testing program. The FMCSA

originally determined that “safety-sensitive”

functions (§382.107) were functions performed

as part of on-duty time. However, the FMCSA

amended the rule to remove this complex link


with on-duty time. See table 2.1 for a

complete description of safety-sensitive

functions.

Stand-Down

The drug testing process provides for an

MRO to receive test results from the laboratory,

verify a positive or negative result, and only

then contact the employer to report the test

result. Some employers wanted to be able to

remove a driver from safety-sensitive functions

during the time between the laboratory

notifying the MRO of a positive test result and

the MRO verifying the test result.

The current rules in effect since August 1,

2001, allow employers to request a waiver from

the standard test result reporting requirements

and establish a stand-down program, to remove

drivers from safety-sensitive functions during

the time the MRO is verifying a positive test.

The employer wishing a stand-down waiver

Safety-Sensitive Function

• All time at a carrier or shipper plant, terminal, facility, orother property, or on any public property, waiting to bedispatched, unless the driver has been relieved from dutyby the employer. This includes employees who are“eligible” at work to drive a CMV at anytime, e.g.,salespersons, clerks, secretaries, supervisors.

• All time inspecting equipment as required by §392.7,“Equipment, Inspection, and Use,” and §392.8,“Emergency Equipment and Use,” or otherwiseinspecting, servicing, or conditioning any CMV at anytime.

• All driving time, which is any time spent at the drivingcontrols of a CMV in operation.

• All time, other than driving time, in or upon anyCMV except time spent resting in a sleeper berth.

• All time loading or unloading a vehicle, supervising orassisting in loading or unloading, attending a vehiclebeing loaded or unloaded, remaining ready to operate thevehicle, or giving or receiving receipts for shipmentsloaded or unloaded.

• All time repairing, obtaining assistance for, or remainingwith a disabled vehicle.

Not Safety-Sensitive

• All time spent providing a breathsample or urine specimen, includingtravel time to and from the collectionsite, in order to comply with therandom, reasonable suspicion,postaccident, or follow-up testingrequired by part 382 when directed byan employer.

• Performing any other work in thecapacity of or in the employ or serviceof a common, contract, or privateemployer.

• Performing any compensated work forany nonmotor carrier entity.

Table 2.1. Safety-Sensitive Functions


must submit an application for such a waiver to

the FMCSA, in accordance with §382.119. If

the waiver is granted, the employer may

establish a stand-down program provided that

such a program will provide that all drivers are

treated fairly and confidentiality is protected.

Referral for Evaluation

You must immediately remove every

driver who has violated the prohibitions in Part

382, subpart B from driving CMVs and

performing other safety-sensitive functions and

refer the driver to a substance abuse

professional for an evaluation. The evaluation

is to determine the level of assistance the driver

needs in resolving problems with alcohol

misuse and/or controlled substances use.

The employer must advise the driver of

the various resources available to the driver.

These must include, but are not limited to, the

names, addresses, and telephone numbers of

substance abuse professionals, counseling, and

treatment programs. Employers that have

established employee assistance programs or

have health insurance programs that include

substance abuse treatment may refer their

drivers to these programs.

Administrative Requirements

You must maintain certain testing

records (§382.401). Such records and other

personal data associated with the testing

program are subject to conditions for release.

If requested by the FMCSA, annual reports

must be submitted (§382.403). DO NOT send

your annual summary to the FMCSA unless the

FMCSA requests that you do so.

State and Local Issues

The FMCSA regulations (§382.109)

preempt any State or local law, rule, regulation,

or order when

• Compliance with both the State or local

requirement and these regulations is not

possible,

• Compliance with the State or local

requirement is an obstacle to

accomplishing and executing any

requirement in these regulations.

However, these regulations do not

preempt any provisions of State criminal law

that impose sanctions for conduct leading to

loss of life, injury, or damage to property.


Section 2. WHAT THEREGULATIONS DO NOT REQUIRE

The FMCSA regulations are focused on

public safety and, therefore, do not address a

number of concerns that are considered internal

affairs of employers. The following issues are

not specifically included in the FMCSA

regulations:

• The FMCSA does not require or

authorize testing of employees who are

not drivers (although you may choose to

do so under your own separate authority

if State and Local law permit).

• The FMCSA does not require that you

provide an employee assistance program

(EAP) (although you may and are

encouraged to do so).

• The FMCSA does not require that

employees be rehabilitated and reinstated

(although you may do so).

• Other than split-specimen testing, the

FMCSA does not specify who pays for

testing (check your State and local laws).

You may expand upon the regulatory

requirements to tailor a program to meet

specific needs. However, your policy must be

very specific about what activities are

conducted under Federal regulations, which

activities are conducted under your own

authority, and which forms are to be used.

Going Beyond the Regulatory Requirements

Whenever you expand your controlled

substances use and alcohol misuse program

beyond the regulatory requirements and include

aspects not specifically required by the

regulations, you must make sure that your

employees know which parts are FMCSA

regulatory requirements and which are your

own extensions beyond the regulations. For

example, if you wish to test nonsafety-sensitive

employees, you may do this under your own

authority but must establish a separate testing

pool.

Section 3. THE CONSEQUENCESOF FAILURE TO COMPLY

Penalties are assessed administratively

by the FMCSA for violations of parts 382 and

40 and administrative orders may be issued

to bring about satisfactory compliance.

Criminal penalties are also authorized to be

sought in U.S. District Court under certain

circumstances.

The maximum amounts of civil penalties

that can be assessed for regulatory violations

are established in the statutes granting


enforcement powers. The determination of the

actual civil penalties assessed in each case is

based on those defined limits and consideration

of information available at the time the claim is

made concerning the nature, circumstances,

extent and gravity of the violation, and with

respect to the violator, the degree of culpability,

history of prior offenses, ability to pay, effect on

ability to continue to do business, and such other

matters as justice and public safety may require.

In adjudicating civil penalty claims, and orders

under the administrative procedures in this

subchapter, additional information may be

developed regarding these factors that may affect

the final amount of the claim. Furthermore,

consideration will be given to good-faith efforts

to achieve compliance.

Criminal penalties may be sought against a

motor carrier (employer), its officers or agents, a

driver, or other persons when it can be

established that violations were deliberate or

resulted from a willful disregard for the

regulations. Criminal penalties may be sought

against an employee only when a causative link

can be established between a knowing and

willful violation and an accident or the risk

thereof.


Chapter 2 Appendix


Drivers Waived From Obtaining aCommercial Driver’s License

Policy Development and Communication3 - 1

Chapter 3.

POLICY DEVELOPMENTAND COMMUNICATION

The FMCSA regulations require that you

develop a written policy on controlled

substances use and alcohol misuse in the

workplace and that the policy be provided to

every driver. You may use this chapter as a

checklist of the items that should be included

in your policy.

Section 1. POLICYDEVELOPMENT

As you begin developing your policy,

you may want to involve other members of

your organization. This could include, but is

not limited to, your company officials, union

representatives, medical review officers

(MROs), substance abuse professionals

(SAPs), breath alcohol technicians, screening

test technicians, and legal representatives.

Policy Development and Communication 3 - 2

A final review of your draft policy

should be conducted by your legal

representatives, your labor relations personnel,

and your executives. The purpose of the legal

review is to ensure that there are no conflicts

between the provisions of the policy and the

requirements of the FMCSA and other Federal,

State, provincial, or local laws such as the

Americans with Disabilities Act (ADA), the

Family Medical Leave Act (FMLA), or the

Drug-Free Workplace Act (DFWA).

The labor relations/company official

review should identify and resolve any

conflicts between the policy and existing labor

agreements or personnel policies. It should be

noted that requirements of the FMCSA

regulations are not subject to bargaining.

Section 2. REQUIRED POLICYSTATEMENT

The controlled substances and alcohol

regulations require that you have a policy

statement that incorporates your position and

information on virtually all aspects of your


program (§382.601).

Policy Components Required by theControlled Substances and Alcohol Rule

(§382.601)

Overview (suggested but not required)

Categories of drivers subject to testing

Participation as a requirement of employment

Required hours of compliance

Prohibited behavior

Circumstances for testing

Behavior that constitutes a refusal to submit to a test

Consequences for drivers with an alcohol

concentration of 0.02 or greater but less than 0.04

Testing procedures

Consequences of use of controlled substances and

misuse of alcohol

Identity of contact person

Effects of alcohol and controlled substances

Overview

The policy statement should begin with

a short statement describing the objective or

purpose of the policy.

Categories of Drivers Subject to Testing

All drivers/employees who operate

CMVs must be subject to testing as defined in

Chapter 2, “Regulatory Overview” (§382.103).


Participation as a Requirement

of Employment

The policy must indicate that

participation in the employer’s controlled

substances and alcohol testing program is a

requirement of each driver/employee, and

therefore, is a condition of employment or use.

Required Hours of Compliance

The policy must clearly identify the

time periods during which drivers must be in

compliance with the alcohol rule. A driver

must not consume alcohol while on duty

(§382.205), four hours prior to on duty time

(§382.207), and up to eight hours following an

accident or until the employee undergoes a

post-accident test, whichever occurs first

(§382.209).

A driver shall not report for duty or

remain on duty that requires performing safety-

sensitive functions when the driver uses any

controlled substance, except when the use is at

the instruction of a physician who has advised

the driver that the substance does not adversely

affect the ability to safely operate a CMV

(§382.213).

Prohibited Behavior

Employers must describe driver

behavior that is prohibited by the FMCSA

rules.

Circumstances for Testing

The FMCSA requires that controlled

substances and alcohol tests be given to drivers

in specific circumstances: pre-employment

(for controlled substances only), reasonable

suspicion, post-accident, random, return-to-

duty,

and follow-up (see Chapter 5, “Types of

Testing,” for a description of these tests).

Your policy must define these

circumstances in sufficient detail to inform the

drivers what circumstances will trigger these

tests (Part 382, subpart C).


Behavior That Constitutes a Refusal

to Submit to a Test

The policy must describe the kinds of

behavior that constitute a refusal to submit to a

test. Such behavior includes refusal to take the

test (§382.211); inability to provide sufficient

quantities of breath, saliva, or urine to be tested

without a valid medical explanation; tampering

with or attempting to adulterate the specimen;

interfering with the collection procedure; not

immediately reporting to the collection site;

failing to remain at the collection site until the

collection process is complete; having a test

result reported by an MRO as adulterated or

substituted; or leaving the scene of an accident

without a valid reason before the tests have

been conducted. See the definition of “Refuse

to Submit” in §382.107.

Consequences for Drivers With an Alcohol

Concentration of 0.02 or Greater but Less

Than 0.04

The policy must state that any driver

who has an alcohol concentration of 0.02 or

greater but less than 0.04 shall not perform or

continue to perform safety-sensitive functions

until 24 hours following the administration of

the test (§382.505).

No other action can be taken under

FMCSA or DOT authority against the driver

based solely on test results showing an alcohol

concentration of less than 0.04. This does not

prohibit the employer with authority

independent of FMCSA regulations from

taking any action otherwise consistent with the

law (§382.505(b)).

No action shall be taken under FMCSA

or DOT authority against the driver based

solely on test results showing an alcohol

concentration of less than 0.02. Alcohol

concentration results of less than 0.02 are

considered negative for the purposes of this

employer testing program. No employer may

penalize a driver based on a test result of less

than 0.02 alcohol concentration conducted

under Federal requirements.

Testing Procedures

The policy must describe the procedures (49

CFR part 40) for how:

• Controlled substances tests will be

performed, including split specimen

collection and analysis for controlled

substances

• Alcohol tests will be performed,

including whether breath or saliva

screening tests will be performed

• Privacy of the employee will be

protected


• Integrity of the test process will be

maintained

• Test results will be attributed to the

correct driver.

• Post-accident testing will be conducted

including instructions to the driver.

The policy must indicate that the

employer will strictly adhere to all standards of

confidentiality and assure all drivers that

testing records and results will be released only

to those authorized by the FMCSA rules to

receive such information (§382.405).

Consequences of the Use of Controlled

Substances and the Misuse of Alcohol

The policy must contain the

consequences for a driver who refuses to

submit to a test, has a verified positive

controlled substances test result, or has an

alcohol concentration of 0.04 or greater. This

includes the mandatory requirement that a

driver be removed immediately from his or her

safety sensitive function (§382.501). The

policy must also state that any driver who has a

verified positive controlled substances test

result, has an alcohol concentration of 0.04 or

greater, or refuses to submit to a test must also

be evaluated by a substance abuse professional,

even if your policy requires the driver to be

terminated.

Any further action (e.g., termination)

taken against the driver is up to the employer,

but must be described in detail in the policy. It

should also be mentioned in the policy that

these actions are employer-mandated, not

FMCSA-mandated.

Identity of Contact Person

You must designate a person to answer

questions about your controlled substances use

and alcohol misuse program, with the

telephone number and office location clearly

indicated.

Effects of Alcohol and

Controlled Substances

The policy must state where

information can be obtained on the effects of

alcohol misuse and controlled substances use

on an individual’s health, work, and personal

life; signs and symptoms of an alcohol

problem; and available methods of intervening

when an alcohol and/or controlled substance

problem is suspected. You must provide this

information to your drivers.


More details on this can be found in Chapter 4,

“Education and Training.”

Any Additional Employer Provisions

If you wish to exceed the requirements

of the Federal regulations, these provisions

should be included in the policy. It must be

made clear that these provisions are those of

the employer and not required by the FMCSA.

This includes information concerning

who will pay for the testing. The FMCSA

regulations do not specify who pays for testing

drivers. However, an employer must ensure all

testing is conducted as required by part 40,

including split-sample analysis when requested

by the driver. An employer and MRO shall not

delay testing because of issues over who will

pay for a test (especially a split-sample

analysis). The testing must be conducted and

payment or reimbursement settled later.

Section 3. POLICYCOMMUNICATION

Once you have developed and adopted a

policy on controlled substances use and alcohol

misuse, you must make sure that your drivers

are aware of the policy and the effect it will

have on them. You must provide materials that

explain the regulations, policy, and

corresponding procedures to all drivers and

representatives of employee organizations

(§382.601). You must require drivers to sign a

certificate of receipt in accordance with

§382.601(d).

You may wish to exceed this requirement

by undertaking a more active approach to

communicating the policy by using all the

mechanisms available at your organization to

inform and educate employees. These could

include:

• Orientation sessions,

• Written materials,

• Audio/video tapes,

• Interactive forums,

• Informational material displays, or

• Ongoing dialogue among drivers,labor representatives, first-linesupervisors, and company officials.

The requirement to notify drivers about

your policy should not be confused with the

requirement to formally train supervisors in

selected aspects of your controlled substances

use and alcohol misuse program. See

Chapter 4, “Education and Training,” for an

explanation of your training obligations.


Suggestions for Communicating the Policy

As soon as the policy is adopted, initial

policy communication sessions should be

scheduled to inform the drivers of the

requirements of the Federal regulations and the

manner in which the employer will implement

these regulations. This initial communication

should be in a session of adequate length to

assure the employees understand the policy and

have all questions answered. A company

official should be present and express support

for the policy. However, if a session cannot be

scheduled, you could distribute the policy to all

employees, explaining some of the major

points of the program and the implementation

schedule. In the initial communication you

should:

• Provide each driver with a copy of therequired policy and explain that

formal training on the details of theprogram will follow (if you intend toprovide optional driver training).Summarize the policy.

• Provide a summary that explains therequirements set forth in theregulations.

• Have each driver sign the required

certificate of receipt formacknowledging receipt of a copy ofthe policy and the regulationsummary. An example form isprovided in the appendix at the end ofthis section.

• Provide an overview of theemployer’s action plan forimplementing the controlledsubstances use and alcohol misusepolicy and discuss the major

milestones.

• Provide a schedule, consistent withyour action plan, of the formal drivertraining sessions.

You may wish to include other items in

your initial policy orientation sessions. One

suggestion is to provide an open forum where

top management, company officials, union

officials, laboratory representatives, a

substance abuse professional, and possibly the

MRO can answer questions regarding any

aspect of the policy, its implications, testing

procedures, or available employee assistance.

Be sure that persons answering questions about

the policy and regulations are completely

knowledgeable concerning all aspects of the

program. Generalities, vague answers,

opinions, and guesses should be avoided. If a


specific issue has not been resolved or is not

addressed by the policy, say so. If you do not

know the answer to a question, assure the

audience that you will get an answer as soon as

possible, then make sure to follow up.

Management Commitment

Company officials should demonstrate

their personal commitment to and support of

the program by communicating the policy to

drivers, setting an example, and ensuring fair

and impartial implementation. Assurances of

strict confidentiality and respect for driver

privacy and dignity are key elements in

promoting the program. Company officials

should have been thoroughly briefed on the

program and must be knowledgeable about the

effects of controlled substances use and

alcohol misuse, the various rehabilitation

options available (if any), and the prescribed

disciplinary actions the company has elected to

implement. A positive attitude toward

achieving a controlled substances and alcohol-

free work site should be communicated at

every opportunity and will do much to achieve

a successful program.

Labor Involvement

Requirements of the FMCSA-mandated


program are not subject to bargaining.

However, it is advantageous to involve the

union or driver leadership in the

implementation process by providing periodic

briefings on the status of program formulation.

The briefings should stress the health and

safety benefits to employers,

drivers, and the public. Your driver

representatives may actively support the

program and may offer to become actively

involved in it or in the support and

administration of an EAP.

Applicants for Employment

You must make sure that all driver

applicants are fully aware of the employer’s

commitment to a controlled substances and

alcohol-free workplace.

A statement should be added to the

driver application form in which the

prospective driver agrees to follow the

employer’s controlled substances and alcohol

policy and submit to testing if performing a

safety-sensitive function. Persons who wish to

transfer to a safety-sensitive function must be

made aware of these policies. A statement

similar to the one below should be added to all

notices for driver applicants:

Applicants for positions that

require driving a commercial

motor vehicle (CMV) at any time


will be required to undergo

controlled substances and at our

discretion, alcohol testing prior to

employment and will be subject to

further testing throughout their period

of employment. Applicants will also

be asked to sign forms for release

of information from previous

employers in all cases where

driving a CMV was one of your

functions. Failure to sign will prevent

this employer from using you as a

CMV driver.

Drivers will be requested to provide

written consent to obtain information from

previous employers about the drivers (§40.25).

This information must include

• Alcohol tests with concentrations

of 0.04 or greater

• Positive controlled substances test

results

• Refusals to test

• Information on other violations of

DOT agency drug and alcohol

testing regulations

• If necessary, evidence of

successful completion of the return

to duty process.

Details of this requirement and

pre-employment testing can be found in

Chapter 5, “Types of Testing.”

In addition to these pre-employment

statements, as part of their orientation, driver

applicants who submit to and pass the

preemployment controlled substances tests

should be given a briefing similar to that given

current drivers and must be given a copy of the

policy statement.


Chapter 3 Appendix


Certificate of Receipt


Example of aCertificate of Receipt

I have received a copy of _______________________’s controlled substances and

alcohol policies and procedures.

_________________________________ _________________________________ Date Driver’s Signature

________________________________ Driver’s Name (printed)

_________________________________ Driver Identification

Please Sign and Return This Card.

(employer)

Education and Training4 - 1

Chapter 4.EDUCATION ANDTRAINING

The primary objective of the controlled

substances use and alcohol misuse program is

deterrence rather than detection. Public safety

is best served if drivers are aware of the effects

of alcohol and controlled substances on health,

safety, and the work environment.

Consequently, the FMCSA believes that

educating drivers and training supervisors are

essential for these programs to be effective.

Employers are required to provide educational

materials for drivers (see Chapter 3) and

training for supervisors prior to the start of

testing (§382.601 and §382.603, respectively).

Furthermore, the FMCSA regulations

and associated DOT regulations (49 CFR part

40) specify the involvement of professional

and technical personnel in the administration of

your alcohol and controlled substances

program. These personnel include the medical

review officer (MRO), the substance abuse

professional (SAP), the screening test

Education and Training 4 - 2

technician (STT), the breath alcohol technician

(BAT), and urine collectors. Each of these

individuals must have specific training and/or

experience as described in the final section of

this chapter.

Educating your work force and

supervisors is a major component of a

successful controlled substances use and

alcohol misuse program. The benefits of the

program are enhanced when drivers understand

your policies and procedures, why you are

implementing them, and what driver

responsibilities are.

Well-trained supervisors help you

achieve your safety goals and maintain

program integrity, which in turn reduce your

program costs and liabilities. The FMCSA

regulations require specific training for

supervisors. In addition, many employers may

choose to augment required driver education

with training programs tailored to local needs.

Section 1. EDUCATION OFDRIVERS

Employers must provide each driver

subject to the regulations with written

materials as described in Chapter 3.

The appendix in Chapter 3, “Policy

Development and Communication,” contains a

sample form for use by drivers in confirming

receipt of the educational materials. One

effective way to distribute the educational

materials is with the driver’s paycheck. Be

sure to retain, in a secure location, the signed

certificate indicating that the driver has

received the educational materials

(§382.601(d)).

The appendix of this chapter contains

information about alcohol and the five

controlled substances tested for under part 382,

which you may wish to include in your

education and training materials. In addition,

table 4.1 lists other organizations that will

provide you with educational materials at little

or no cost.

Many employers offer their drivers and

other employees counseling and rehabilitation

services through an employee assistance

program (EAP). As part of its contractual

obligation to the employer, the EAP should be

required to supply and distribute educational

and training materials. Similarly, your health

insurance carrier may have informational and

educational materials available to distribute to

your work force.

Section 2. SUPERVISOR TRAINING

Employers must provide training to all

persons who supervise drivers subject to the

regulations, in accordance with §382.603.


Table 4-1. Sources of Educational Materials

1. National Clearinghouse for Alcohol and Drug Information (NCADI), PO Box 2345,Rockville, MD 20852. (800) 729-6686 or (301) 468-2600. Can provide fact sheets,films, posters, pamphlets, and brochures at no or low cost. Multilingual materials. Freequarterly catalog available

2. Your State substance abuse clearinghouse. Each State has at least one Federally fundedclearinghouse, which can provide you with nationally and locally produced informationmaterials.

3. Drug-Free Workplace Helpline, Center for Substance Abuse Prevention. (800) 843-4971.Operates from 9:00 AM to 5:30 PM Eastern time, Monday - Friday. Provides informationon policy, controlled substance testing, employee assistance program models, andrelated topics. Offers literature at no cost to employers. Referrals to other informationsources and lists of consultants by geographic area are available.Website: http://www.drugfreeworkplace.gov

4. Partnership for a Drug Free America, 405 Lexington Avenue, New York, NY 10174-0002. (212) 922-1560. Provides high-quality, high-impact messages in the form ofposters, audio tapes, and video tapes. No charge, but a donation will be requested.

The purpose of this training is to enable

supervisors to determine whether reasonable

suspicion exists to require a driver to undergo

testing described in §382.307. It must include

at least 60 minutes on alcohol misuse and 60

minutes on controlled substances use (120

minutes total). The training may consist of

formal classroom training, videos, written

materials, online training, or other appropriate

methods. Interactive training is encouraged, as

experience has shown it is more effective than

passive methods.

The content of the training must include

the physical, behavioral, speech, and

performance indicators of probable alcohol

misuse and controlled substances use. As with

driver education, the material in this chapter’s

appendix may be used as part of your

supervisor education and training materials,

and the organizations listed in table 4.1 can

provide additional information.

Section 3. TRAINING OFPROFESSIONAL ANDTECHNICAL PERSONNEL

Individuals who perform certain

professional and technical functions in DOT

testing programs are required by 49 CFR part

40 to have specific qualifications and recurrent


training. These requirements apply whether

the individuals are your in-house employees or

external service agents. Before you use these

types of professional and technical personnel,

you should satisfy yourself that they have the

requisite qualifications and are aware of the

need for periodic refresher training. Below is a

reference list of the part 40 sections that apply

to each type of service agent subject to the

training requirements:

Urine collection personnel – §40.31 and 33

Medical review officers (MROs) – §40.121

Screening test technicians (STTs) and breath

alcohol technicians (BATs) – §40.211 and 213

Substance abuse professionals (SAPs) –

§40.281


Chapter 4 Appendix


Signs and Symptomsof Alcohol and

Controlled Substances Use


Detection Periods

Detection periods vary; rates of metabolism and excretion are different foreach drug and use and vary by individual. Detection periods should beviewed as estimates. Cases can always be found to contradict theseapproximations.

Drug Detection Period

Amphetamines Amphetamine 1–2 days Methamphetamine 1–2 days

Cocaine Benzoylecgonine 2–3 days

Cannabinoids (Marijuana) Casual Use Up to 7 days Chronic Use Up to 30 days

Alcohol 12–24 hours

Opiates Codeine Usually up to 2 days Hydromorphone (Dilaudid) Usually up to 2 days Morphine (for Heroin) Usually up to 2 days

Phencyclidine (PCP) Casual Use Up to 8 days Chronic Use Up to 30 days


Alcohol Fact Sheet

Alcohol is a drug that has been consumed throughout the world for centuries. It is considereda recreational beverage when consumed in moderation for enjoyment and relaxation during socialgatherings. However, when consumed primarily for its physical and mood-altering effects, it is asubstance of abuse. As a depressant, it slows down physical responses and progressively impairsmental functions.

Description

• Generic/Chemical Names (Representative): Beer (about 4.5 percent alcohol), wine(about 14 to 20 percent alcohol), distilled spirits or liquor (about 50 percent alcohol).

• Alternative Sources: After-shave lotion, cough medicine, antiseptic mouthwash,vanilla extract, disinfectant, room deodorizer fluid, cologne, breath sprays, shavingcreams, rubbing alcohol.

• Common Street Names: Booze, juice, brew, grain, shine, hooch.

• Distinguishing Characteristics: Pure ethanol (sold in some States as “grain alcohol”)is a colorless liquid with a distinctive odor and taste. It has a cooling effect whenrubbed on the skin. Most commonly, however, alcohol is consumed as the componentof another beverage, and grain alcohol itself is normally diluted with juices or other softdrinks by the consumer. Depending upon the concentration of alcohol in the beverage,the aroma of alcohol may serve as an indicator of the presence of alcohol in a beverage.Since the sale and distribution of all products containing more than a trace amount ofethanol are regulated by Federal and State governments, the best guide to whether aspecific beverage contains alcohol will be label information if the original container isavailable.

• Paraphernalia: Liquor, wine, after-shave, or cough medicine bottles; drinking glasses;cans of alcohol-containing beverages; can and bottle openers. Paper bags are sometimesused to conceal the container while the drink is being consumed.

• Method of Intake: Alcohol is consumed by mouth. It is infrequently consumed as pure(grain) alcohol. It is, however, frequently consumed in the form in which it is sold (e.g.,cans of beer, “straight” liquor, glasses of wine). Alcohol is often consumed incombination with other beverages (“mixers”), either to make it more palatable or to

disguise from others that alcohol is being consumed.


• Duration of Single Dose Effect: Alcohol is fully absorbed into the bloodstream within30 minutes to 2 hours, depending upon the beverage consumed and associated foodintake. The body can metabolize about one quarter of an ounce (0.25 oz.—roughly halfthe amount in a can of beer) of alcohol per hour.

The effects of alcohol on behavior (including driving behavior) vary with the individualand with the concentration of alcohol in the individual’s blood. The level of alcoholachieved in the blood depends in large part (although not exclusively) upon the amountof alcohol consumed and the time period over which it was consumed. One rule ofthumb says that in a 150-pound person, each drink adds 0.02% to blood alcoholconcentration and each hour that passes removes 0.01percent from it.

Generally speaking, alcohol is absorbed into the blood relatively quickly andmetabolized more slowly. Therefore, the potential exists for alcohol concentrations tobuild steadily throughout a drinking session. The table below shows some generaleffects of varying levels of BAC:

BAC Behavioral Effects0.02-0.09% Loss of muscular coordination, impaired senses,

changes in mood and personality.0.10-0.19% Marked mental impairment, further loss of

coordination, prolonged reaction time.0.20-0.29% Nausea, vomiting, double vision.0.30-0.39% Hypothermia, blackouts, anesthesia.0.40-0.70% Coma, respiratory failure, death.

• Detection Time: The detection time for alcohol depends upon the maximum level ofBAC achieved and varies by individual. Since under FMCSA regulations alcoholconcentrations as low as 0.02 percent (under DOT testing procedures, breath alcoholconcentration is used as a proxy for BAC) require employer action, and currenttechnology can reliably detect this level, a driver who had achieved a moderate level ofintoxication (i.e., 0.08 percent BAC) would be detectable approximately 8 hours afterachieving that level. (Note: this is detectability after achieving this level and not aftercommencing or stopping drinking.)

• Dependency Level: The chronic use of alcohol can produce dependence in someindividuals manifested by craving, withdrawal, and tolerance. Despite the fact thatmany individuals consume alcoholic beverages (more than 90 percent of Americans atsome point during their lives), relatively few of them (only about 10 percent of drinkers)develop psychological and physical dependency on it.


Signs and Symptoms of Use

• Evidence of Presence of Alcohol: Bottles, cans, and other containers which alcohol-containing beverages may have been purchased and/or consumed in; bottle caps fromalcohol containers; bottle or can openers; drivers drinking from paper bags; odor ofalcohol on containers or on driver’s breath.

• Physical Symptoms: Reduction of reflexes, slurred speech, loss of coordination,unsteady gait.

• Behavioral Symptoms: Increased talkativeness, reduced emotional control, distortedjudgment, impaired driving ability, gross effects on thinking and memory.

Effects of Alcohol on the Individual

Physical Health Effects

• The liver is the primary site of alcohol metabolism and can be severely affected byheavy alcohol use. The three primary dangers are fatty liver, alcoholic hepatitis, andcirrhosis.

• Heavy alcohol use can also severely affect the gastrointestinal tract, contributing toinflammation of the esophagus, exacerbating peptic ulcers, and causing acute andchronic pancreatitis. It interferes with the absorption of nutrients from food andcontributes to malnutrition.

• Heavy alcohol use affects the heart and vascular system, contributing to heart attacks,hypertension, and strokes.

• Either because of direct action or indirectly through the malnutrition, liver disease, andother effects it causes, alcohol depresses immune system functioning and increases thelikelihood of infection.

• There is considerable evidence that alcohol abuse is associated with the incidence ofcancer, particularly cancers of the liver, esophagus, nasopharynx, and larynx.

• Heavy alcohol consumption causes brain damage, manifested through dementia,blackouts, seizures, hallucinations, and peripheral neuropathy.


Other Health Effects

• In addition to having direct health effects through physiological changes in the drinker’sbody, alcohol contributes significantly to health problems indirectly. While most of themedical consequences of alcohol use listed above result from chronic use, these othereffects can often result from a single episode of acute use:

— One half of all traffic accident fatalities are alcohol-related.

— The risk of a traffic fatality per mile driven is at least eight times higher for adrunk driver than for a sober one.

— Falls are the most common cause of nonfatal injuries in the U.S. and the second-most common cause of fatal accidents. Estimates of the involvement of alcohol inthese falls range from 20 to 80 percent. A BAC between 0.05 and 0.10 percentincreases the likelihood of a fall by three times. Between 0.10 and 0.15 percent, itincreases by a factor of 10, and above 0.16 percent it increases by a factor of 60.

— Research indicates over 60 percent of those dying in nonvehicular fires (fourthleading cause of accidental death in the United States) have BACs over 0.10percent.

— Approximately 38 percent of those drowning (third leading cause of accidentaldeath in the United States) have been exposed to alcohol at the time of theirdeaths.

— Between 20 and 36 percent of suicide victims have a history of alcohol abuse orwere drinking shortly before their suicides.

— Alcohol also plays a significant role in crime and family violence, includingspousal and child abuse.

Effects on Driver Performance

The statistics reported above make it clear that alcohol can have a devastating effect on driverperformance. By affecting vision, reflexes, coordination, emotions, aggressiveness, andjudgment, alcohol deprives the professional driver of most of the tools he or she relies upon toperform safely.


Hangovers also present a risk to driving behavior, as would other illnesses. The sick feelingassociated with hangovers, including headaches, nausea, and other symptoms, can distract adriver’s attention and lead to accidents even though alcohol may no longer be detectable in thebody.

Overdose Effects

• Unconsciousness, coma, death.

Withdrawal Syndrome

Repeated use of alcohol results in tolerance, with increasing consumption necessary to attainits characteristic effects. Alcohol at a given blood level produces less impairment in heavydrinkers than it does in lighter drinkers. Alcohol is toxic by itself and, coupled with themalnutrition common in alcoholics, can lead to kidney disease, deterioration of mentalfaculties, and psychotic episodes (the “DTs”) if the alcohol is withdrawn. The DTs arecharacterized by hallucinations and extreme fear, and their presence are a clear indication ofalcohol dependence. Withdrawal and the associated DTs can be fatal.

References

Blum, Kenneth, “Handbook of Abusable Drugs,” NY, Gardner Press, 1984.

Department of Health and Human Services, “Alcohol and Health: 7th Special Report to theU.S. Congress,” Washington, DC, 1990.


Amphetamine Fact Sheet

Amphetamines are central nervous system stimulants that speed up the mind and body. Thephysical sense of energy at lower doses and the mental exhilaration at higher doses are the reasonsfor their abuse. Although widely prescribed at one time for weight reduction and mood elevation,the legal use of amphetamines is now limited to a very narrow range of medical conditions. Mostamphetamines that are abused are illegally manufactured in foreign countries and smuggled into theUnited States or clandestinely manufactured in crude laboratories.

Description

• Generic/Chemical Names: Include amphetamine and methamphetamine. Trade namesinclude: Desoxyn, Dexapex, Fastin, Vasotilin, Dexedrine, Delcobese, Fetamine,Obetrol.

• Common Street Names: Uppers, speed, bennies, crystal, black beauties, Christmastrees, white crosses, mollies, bam, crank, meth, ice, LA ice.

• Distinguishing Characteristics: In their pure form, amphetamines are yellowishcrystals. They are manufactured in a variety of forms, including pill, capsule, tablet,powder, and liquid. Amphetamine (“speed”) is sold in counterfeit capsules or as white,flat, double-scored “mini bennies.” Methamphetamine is often sold as a creamy white,granular powder or in lumps wrapped in aluminum foil or sealable plastic bags.

• Paraphernalia: Needles, syringes, and rubber tubing for tourniquets, used for theinjection method.

• Method of Intake: The most common forms of amphetamines are pills, tablets, orcapsules, which are ingested. The less frequent forms, liquid and powder, are injected orsnorted.

• Duration of Single Dose Effect: 2 to 4 hours.

• Detection Time: 1 to 2 days after use.

• Dependency Level: Psychological dependence on amphetamines is known to be high.Physical dependence is possible.


• Evidence of Presence of Amphetamines: Most frequently—pills, capsules, or tablets;envelopes, bags, vials for storing the drug; less frequently—syringes, needles,tourniquets.


• Physical Symptoms: Dilated pupils, sweating, increased blood pressure, palpitations,rapid heartbeat, dizziness, decreased appetite, dry mouth, headaches, blurred vision,insomnia, high fever (depending on the level of the dose).

• Behavioral Symptoms: Confusion, panic, talkativeness, hallucinations, restlessness,anxiety, moodiness, false sense of confidence and power; “amphetamine psychosis”which might result from extended use (see health effects).

Effects of Amphetamine Use on the Individual


• Regular use produces strong psychological dependence and increasing tolerance to drug.

• High doses may cause toxic psychosis resembling schizophrenia.

• Intoxication may induce a heart attack or stroke due to spiking of blood pressure.

• Chronic use may cause heart and brain damage due to severe constriction of capillaryblood vessels.

• The euphoric stimulation increases impulsive and risk-taking behaviors, includingbizarre and violent acts.

• Long-term heavy use can lead to malnutrition, skin disorders, ulcers, and variousdiseases that come from vitamin deficiencies.

• Lack of sleep, weight loss, and depression also result from regular use.

• Users who inject drugs intravenously can get serious and life-threatening infections(e.g., lung or heart disease, kidney damage) from nonsterile equipment or contaminatedself-prepared solutions.

Effects on Mental Performance

• Anxiety, restlessness• Moodiness• False sense of power.

Large doses over long periods can result in

• Hallucinations• Delusions


• Paranoia• Brain damage.


Amphetamines cause a false sense of alertness and potential hallucinations, which can result inrisky driving behavior and increased accidents. Drivers who fail to get sufficient rest may usethe drug to increase alertness. However, although low doses of amphetamines will cause ashort-term improvement in mental and physical functioning, greater use impairs functioning.The hangover effect of amphetamines is characterized by physical fatigue and depression,which make operation of equipment or vehicles dangerous.

Overdose Effects

• Agitation • Convulsions• Increase in body temperature • Death• Hallucinations

Withdrawal Syndrome

• Apathy • Depression• Long-term periods of sleep • Disorientation• Irritability

Workplace Issues

• Because amphetamines alleviate the sensation of fatigue, they may be abused to increasealertness due to unusual overtime demands or failure to get rest.

• Low-dose amphetamine use will cause a short-term improvement in mental and physicalfunctioning. With greater use or increasing fatigue, the effect reverses and has animpairing effect. Hangover effect is characterized by physical fatigue and depression,which may make operation of equipment or vehicles dangerous.

Reference

Federal Motor Carrier Safety Administration, Office of Motor Carriers, “Guidelines forImplementing the FMCSA Anti-Drug Program,” Publication No. FMCSA-MC-91-014, March1992.


Cocaine Fact Sheet

Cocaine is used medically as a local anesthetic. It is abused as a powerful physical and mentalstimulant. The entire central nervous system is energized. Muscles are more tense, the heart beatsfaster and stronger, and the body burns more energy. The brain experiences an exhilaration causedby a large release of neurohormones associated with mood elevation.

Description

• Generic/Chemical Names: Cocaine hydrochloride or cocaine base.

• Common Street Names: Coke, crack, snow, blow, flake, “C”, toot, rock, base, nosecandy, snort, white horse.

• Distinguishing Characteristics: Cocaine is an alkaloid (organic base) derived from thecoca plant. In its more common form, cocaine hydrochloride or “snorting coke” is awhite to creamy granular or lumpy powder chopped fine before use. Cocaine base, rock,or crack is a crystalline rock about the size of a small pebble.

• Paraphernalia: Cocaine hydrochloride—single-edged razor blade, a small mirror orpiece of smooth metal; a half straw or metal tube, and a small screw-cap vial or foldedpaper packet containing the cocaine (used for snorting), needles, tourniquets (used forinjecting). Cocaine base—a “crack pipe” (small glass smoking device for vaporizingthe crack crystals); a lighter, alcohol lamp, or small butane torch for heating thesubstance.

• Method of Intake: Cocaine hydrochloride is snorted into the nose, rubbed on thegums, or injected into the veins. Cocaine base is heated in a glass pipe and the vapor isinhaled.


• Detection Time: Up to 2 to 3 days after last use.

• Dependency Level: Research indicates possible physical dependence. Although thereis insufficient evidence for humans, animal studies indicate “reverse tolerance,” inwhich certain behavioral effects become stronger with repeated use of cocaine.Psychological dependence on cocaine is known to be high.


• Evidence of Presence of Cocaine: Small folded envelopes, plastic bags, or vials usedto store cocaine; razor blades; cut-off drinking straws or rolled bills for snorting; smallspoons; heating apparatus.


• Physical Symptoms: Dilated pupils, runny or irritated nose, profuse sweating, drymouth, tremors, needle tracks, loss of appetite, hyperexcitability, restlessness, highblood pressure, heart palpitations, insomnia, talkativeness, formication (sensation ofbugs crawling on skin).

• Behavioral Symptoms: Increased physical activity, depression, isolation and secretivebehavior, unusual defensiveness, frequent absences wide mood swings, difficulty inconcentration, paranoia, hallucinations, confusion, false sense of power and control.

Effects of Cocaine Use on the Individual


• Research suggests that regular cocaine use may upset the chemical balance of the brain.As a result, it may speed up the aging process by causing irreparable damage to criticalnerve cells. The onset of nervous system illnesses such as Parkinson’s disease couldalso occur.

• Cocaine use causes the heart to beat faster and harder and rapidly increases bloodpressure. In addition, cocaine causes spasms of blood vessels in the brain and heart.Both effects lead to ruptured vessels causing strokes or heart attacks.

• Strong psychological dependency can occur with one “hit” of crack. Usually, mentaldependency occurs within days of using crack or within several months of snorting coke.Cocaine causes the strongest mental dependency of any known drug.

• Treatment success rates are lower than those of other chemical dependencies.

• Cocaine is extremely dangerous when taken with depressant drugs. Death due tooverdose is rapid. The fatal effects of an overdose are not usually reversible by medicalintervention. The number of cocaine overdose deaths in the United States has tripled inthe last four years.


• Paranoia and hallucinations• Hyperexcitability and overreaction to stimulus• Difficulty in concentration• Wide mood swings• Withdrawal leads to depression and disorientation



Cocaine use results in an artificial sense of power and control, which leads to a sense ofinvincibility. Lapses in attention and the ignoring of warning signals brought on by cocaineuse greatly increase the potential for accidents. Paranoia, hallucinations, and extreme moodswings make for erratic and unpredictable reactions while driving.

The high cost of cocaine frequently leads to workplace theft and/or dealing. Forgetfulness,absenteeism, tardiness, and missed assignments can translate into lost business.

Overdose Effects

• Agitation • Convulsions• Increase in body temperature • Death• Hallucinations

Withdrawal Syndrome

• Apathy • Depression• Long periods of sleep • Disorientation• Irritability

Reference



Cannabinoids (Marijuana) Fact Sheet

Marijuana is one of the most misunderstood and underestimated drugs of abuse. People usemarijuana for the mildly tranquilizing and mood and perception-altering effects it produces.

Description

• Generic/Chemical Name: Dronabinal, marinol, nabilone.

• Common Street Names: Pot, dope, grass, hemp, weed, hooch, herb, hash, joint,Acapulco gold, reefer, sinsemilla, Thai sticks.

• Distinguishing Characteristics: Like tobacco, marijuana consists of dried, choppedleaves that are green to light tan in color. The seeds are oval with one slightly pointedend. Marijuana has a distinctly pungent aroma resembling a combination of sweetalfalfa and incense. Less prevalent, hashish is a compressed, sometimes tarlikesubstance ranging in color from pale yellow to black. It is usually sold in small chunkswrapped in aluminum foil.

• Paraphernalia: Cigarette papers, roach clip holders, and small pipes made of bone,brass, or glass are commonly found. Smoking “bongs” (large-bore pipes for inhalinglarge volumes of smoke) can easily be made from soft drink cans and toilet paper rolls.

• Method of Intake: Marijuana is usually inhaled in cigarette or pipe smoke.Occasionally, it is added to baking ingredients (e.g., brownies) and ingested.Tetrahydro-cannabinol (THC), the active chemical detected in urinalysis, is released byexposure to heat.

• Duration of Single Dose Effect: The most obvious effects are felt for 4 to 6 hours.Preliminary studies suggest that performance impairment lasts longer. The activechemical, THC, is stored in body fat and slowly metabolized over time.

• Detection Time: Traces of marijuana will remain in the urine of an occasional user forup to 1 week, and, in the case of a chronic user, for 3 to 4 weeks.

• Dependency Level: Evidence indicates moderate psychological dependence.


• Evidence of Presence of Marijuana: Plastic bags (commonly used to sell marijuana);smoking papers; roach clip holders; small pipes of bone, brass, or glass; smoking bongs;distinctive odor.


• Physical Symptoms: Reddened eyes (often masked by eye drops); stained fingertipsfrom holding “joints,” particularly for nonsmokers; chronic fatigue; irritating cough;chronic sore throat; accelerated heartbeat; slowed speech; impaired motor coordination;altered perception; increased appetite.

• Behavioral Symptoms: Impaired memory, time-space distortions, feeling of euphoria,panic reactions, paranoia, “I don’t care” attitude, false sense of power.

Effects of Marijuana Use on the Individual

General Health Effects

• When marijuana is smoked, it is irritating to the lungs. Chronic smoking causesemphysema-like conditions.

• One joint causes the heart to race and be overworked. People with undiagnosed heartconditions are at risk.

• Marijuana is commonly contaminated with the fungus Aspergillus, which can causeserious respiratory tract and sinus infections.

• Marijuana smoking lowers the body’s immune system response, making users moresusceptible to infection. The U.S. Government is actively researching a possibleconnection between marijuana smoking and the activation of AIDS in positive humanimmunodeficiency virus (HIV) carriers.

Pregnancy Problems and Birth Defects

• The active chemical, THC, and 60 other related chemicals in marijuana concentrate inthe ovaries and testes.

• Chronic smoking of marijuana in males causes a decrease in the male sex hormone,testosterone, and an increase in estrogen, the female sex hormone. The result is adecrease in sperm count, which can lead to temporary sterility. Occasionally, the onsetof female sex characteristics, including breast development, occurs in heavy users.

• Chronic smoking of marijuana in females causes a decrease in fertility and an increasein testosterone.


• Pregnant women who are chronic marijuana smokers have a higher-than-normalincidence of stillborn births, early termination of pregnancy, and higher infant mortalityrate during the first few days of life.

• In test animals, THC causes birth defects, including malformations of the brain, spinalcord, forelimbs, and liver, and water on the brain and spine.

• Offspring of test animals that were exposed to marijuana have fewer chromosomes thannormal, causing gross birth defects or death of the fetus. Pediatricians and surgeons areconcluding that the use of marijuana by either or both parents, especially duringpregnancy, leads to specific birth defects of the infant’s feet and hands.

• One of the most common effects of prenatal cannabinoid exposure is underweightnewborn babies.

• Fetal exposure may decrease visual functioning and cause other ophthalmic problems.

Mental Function

Regular use can cause the following effects:

• Delayed decision-making

• Diminished concentration

• Impaired short-term memory, interfering with learning

• Impaired signal detection (ability to detect a brief flash of light), a risk for users who areoperating machinery

• Impaired tracking (the ability to follow a moving object with the eyes) and visualdistance measurements

• Erratic cognitive function

• Distortions in time estimation

• Long-term negative effects on mental function known as “acute brain syndrome,” whichis characterized by disorders in memory, cognitive function, sleep patterns, and physicalcondition.



• The mental impairments resulting from the use of marijuana produce reactions that canlead to unsafe and erratic driving behavior. Distortions in visual perceptions, impairedsignal detection, and altered reality can make driving a vehicle very dangerous.

Overdose Effects

• Aggressive urges • Immobility• Anxiety • Mental dependency• Confusion • Panic• Fearfulness • Paranoic reaction• Hallucinations • Unpleasant distortions in body image• Heavy sedation

Withdrawal Syndrome

• Sleep disturbance • Irritability• Hyperactivity • Gastrointestinal distress• Decreased appetite • Salivation, sweating, and tremors

Workplace Issues

• The active chemical, THC, is stored in body fat and slowly releases over time.Marijuana smoking has a long-term effect on performance.

• A 500 to 800 percent increase in THC concentration in the past several years makessmoking three to five joints a week today equivalent to 15 to 40 joints a week in 1978.

• Combining alcohol or other depressant drugs and marijuana can produce a multipliedeffect, increasing the impairing effect of both the depressant and marijuana.

Reference



Opiates (Narcotics) Fact Sheet

Opiates (also called narcotics) are drugs that alleviate pain, depress body functions andreactions, and, when taken in large doses, cause a strong euphoric feeling.

Description

• Generic/Chemical Names: Natural and natural derivatives include opium, morphine,codeine, and heroin (semi-synthetic).

Synthetics include meperidine (Demerol), oxymorphone (Numorphan), and oxycodone(Percodan).

• Common Street Names: Big M, micro, dots, horse, “H”, junk, smack, scag, MissEmma, dope, China white.

• Distinguishing Characteristics: Because of the variety of compounds and forms,opiates are more difficult to clearly describe in terms of form, color, odor, and otherphysical characteristics. Opium and its derivatives can range from dark brown chunksto white crystals or powders. Depending on the method of intake, they may be inpowder, pill, or liquid form.

• Paraphernalia: Needles, syringe caps, eyedroppers, bent spoons, bottle caps, andrubber tubing (used in the preparation for and injection of the drug).

• Method of Intake: Opiates may be taken in pill form, smoked, or injected, dependingupon the type of narcotic used.


• Detection Time: Usually up to 2 days.

• Dependency Level: Both physical and psychological dependence on opiates are knownto be high. Dependence on codeine is moderate.


• Evidence of Presence of Drug: In addition to paraphernalia enumerated above, thefollowing items may be present: foil, glassine envelopes, or paper “bindles” (packets forholding drugs); balloons or prophylactics used to hold heroin; bloody tissues used towipe the injection site; a pile of burned matches used to heat the drug prior to injection.


• Physical Symptoms: Constricted pupils, sweating, nausea and vomiting, diarrhea,needle marks or “tracks,” wearing long sleeves to cover “tracks”, loss of appetite,slurred speech, slowed reflexes, depressed breathing and heartbeat, and drowsiness andfatigue.

• Behavioral Symptoms: Mood swings, impaired coordination, depression and apathy,stupor; euphoria.

Effects of Narcotics Use on the Individual

• IV needle users have a high risk for contracting hepatitis and AIDS due to the sharing ofneedles.

• Narcotics increase pain tolerance. As a result, people could more severely injurethemselves or fail to seek medical attention after an accident due to the lack of painsensitivity.

• Narcotics’ effects are multiplied when used in combination with other depressant drugsand alcohol, causing increased risk for an overdose.


• Depression and apathy• Wide mood swings• Slowed movement and reflexes

In addition, the high physical and psychological dependence level of opiates compounds theimpaired functioning.


The apathy caused by opiates can translate into an “I don’t really care” attitude towardperformance. The physical effects as well as the depression, fatigue, and slowed reflexesimpede the reaction time of the driver, raising the potential for accidents. Although opiateshave a legitimate medical use in alleviating pain, workplace use may cause impairment ofphysical and mental functions.


Social Issues

• There are more than 500,000 heroin addicts in the United States, most of whom are IVneedle users.

• An even greater number of medicinal narcotic-dependent persons obtain their narcoticsthrough prescriptions.

• Because of tolerance, there is an ever-increasing need for more narcotic to produce thesame effect.

• Strong mental and physical dependency occurs.

• The combination of tolerance and dependency creates an increasing financial burden forthe user. Costs for heroin can reach hundreds of dollars a day.

Workplace Issues

• Unwanted side effects such as nausea, vomiting, dizziness, mental clouding, anddrowsiness place the legitimate user and abuser at higher risk for an accident.

• Narcotics have a legitimate medical use in alleviating pain. Workplace use may causeimpairment of physical and mental functions.

Reference



Phencyclidine (PCP) Fact Sheet

Phencyclidine (PCP) was originally developed as an anesthetic, but the adverse side effectsprevented its use except as a large animal tranquilizer. Phencyclidine acts as both a depressant and ahallucinogen, and sometimes as a stimulant. It is abused primarily for its variety of mood-alteringeffects. Low doses produce sedation and euphoric mood changes. The mood can change rapidlyfrom sedation to excitation and agitation. Larger doses may produce a comalike condition withmuscle rigidity and a blank stare with the eyelids half-closed. Sudden noises or physical shocks maycause a “freak-out,” in which the person has abnormal strength, extremely violent behavior, and aninability to speak or comprehend communication.

Description

• Generic/Chemical Names: Phencyclidine.

• Common Street Names: Angel dust, dust, peace pills, hog, killer weed, mint, monkeydust, supergrass, Tran Q, weed.

• Distinguishing Characteristics: PCP is commonly sold as a creamy, granular powder.It is either brown or white and often packaged in one-inch-square aluminum foil orfolded paper packets. Occasionally, it is sold in capsule, tablet, or liquid form. It issometimes combined with procaine, a local anesthetic, and sold as imitation cocaine.

• Paraphernalia: Foil or paper packets; stamps (off which PCP is licked); needles,syringes, and tourniquets (for injection); leafy herbs (for smoking).

• Method of Intake: In pill, capsule, or tablet form, PCP may be ingested. It iscommonly injected as “angel dust.” It may be smoked or snorted when applied to leafymaterials or combined with marijuana or tobacco.

• Duration of Single Dose Effect: Days.

• Detection Time: Up to 8 days.

• Dependency Level: Psychological dependence on PCP is known to be high. Physicaldependence is unknown.


• Evidence of Presence of PCP: Packets, stamps, injection paraphernalia, herbs.


• Physical Symptoms: Dilated or floating pupils, blurred vision, nystagmus (jerky eyemovement), drooling, muscle rigidity, profuse sweating, decreased sensitivity to pain,dizziness, drowsiness, impaired physical coordination (e.g., drunken-like walk,staggering), severe disorientation, rapid heartbeat.

• Behavioral Symptoms: Anxiety, panic/fear/terror, aggressive/violent behavior,distorted perception, severe confusion and agitation, disorganization, mood swings, poorperception of time and distance, poor judgment, auditory hallucinations.

Health Effects

• The potential for accidents and overdose emergencies is high due to the extreme mentaleffects combined with the anesthetic effect on the body.

• PCP is potentiated by other depressant drugs, including alcohol, increasing thelikelihood of an overdose reaction.

• Misdiagnosing the hallucinations as LSD-induced, and then treating with Thorazine, cancause a fatal reaction.

• Use can cause irreversible memory loss, personality changes, and thought disorders.

• There are four phases to PCP abuse. The first phase is acute toxicity. It can last up tothree days and can include combativeness, catatonia, convulsions, and coma.Distortions of size, shape, and distance perception are common. The second phase,which does not always follow the first, is a toxic psychosis. Users may experiencevisual and auditory delusions, paranoia, and agitation. The third phase is a drug-inducedschizophrenia that may last a month or longer. The fourth phase is PCP-induceddepression. Suicidal tendencies and mental dysfunction can last for months.


• Irreversible memory loss• Personality changes• Thought disorders• Hallucinations



The distortions in perception and potential visual and auditory delusions make driverperformance unpredictable and dangerous. PCP use can cause drowsiness, convulsions,paranoia, agitation, or coma, all obviously dangerous to driving.

Overdose Effects

• Longer, more intense “trip” episodes• Psychosis• Coma• Possible death.

Withdrawal Syndrome

• None reported

Workplace Issues

• PCP abuse is less common today than in the recent past. It is not generally used in aworkplace setting because of the severe disorientation that occurs.

Types of Testing5 - 1

Chapter 5 - TYPESOF TESTING

The FMCSA regulations require you to

implement the following types of controlled

substances and alcohol tests:

• Pre-employment (controlled substancesonly)

• Reasonable suspicion

• Post-accident

• Random

• Return-to-duty

• Follow-up.

This chapter describes the major

requirements of each of these types of tests.

Section 1. PRE-EMPLOYMENTTESTING

All applicants for employment on a

permanent or temporary basis as a CMV driver,

or current employees who wish to remain CDL

drivers, must be given pre-employment tests

for controlled substances. Prior to conducting

the test, you must inform the applicant or

driver in writing of the testing requirements

(§382.601).

The purpose of pre-employment testing

is to deter and detect controlled substances

abuse by driver-applicants. Pre-employment

testing identifies drivers who could bring a

controlled substances problem into your

organization.

A driver-applicant shall not be allowed

to perform as a driver unless the employer has

a verified negative controlled substances test

result from the MRO for the driver-applicant.

You are required to conduct pre-

employment tests each time a driver returns to

work after a layoff period when the driver has

not been subjected to random controlled

substances testing for more than 30 days or has

been employed by another entity. You must

notify a driver-applicant of the results of a pre-

employment controlled substances test if the

driver-applicant requests the results within 60

days of being notified of the disposition of the

Types of Testing 5 - 2

employment application. For examples

illustrating whether or not you need to conduct

pre-employment tests, please refer to table 5.1,

Pre-employment Testing Examples.

Exceptions for Pre-employment

Controlled Substances Testing

You may elect not to administer a pre-

employment controlled substances test if

• The driver-applicant has participated in

a controlled substances testing program

that meets the requirements of 49 CFR

part 382 and part 40 (or another DOT

agency’s controlled substances testing

program) within the previous 30 days,

and

• While participating in that program, the

driver-applicant either was tested for

controlled substances within the past 6

months or participated in a random

testing program for the previous 12

months, and

• The employer verifies that no prior

employer of the driver-applicant has

records of a violation of Part 382,

subpart B or the controlled substance

prohibited conduct rules of another

DOT agency within the previous 6

months (§382.301(c)).

Pre-employment Controlled Substances

Testing Exception Recordkeeping

You must obtain enough information to

show that the driver is qualified under the

regulations. If you operate under either of the

two exceptions mentioned above, you must

contact the previous testing program to verify

the following:

• Name(s) and address(es) of the

program(s),

• That the driver participates or

participated in the program(s),

• That the program is in compliance with

49 CFR part 40,

• That the driver has not refused to be

tested for controlled substances,

• The date the driver was last tested for

controlled substances, and

• The results of any tests taken within the

previous 6 months.

You must obtain a release form signed

by the driver-applicant authorizing the previous

testing program to share this information with

you and forward that release form to each of

the driver’s previous employers.


Drivers Who Drive for You Sporadically,

but Are Regularly Employed by Another

Employer

If you use, but do not employ, a driver

more than once a year, you must assure

yourself once every 6 months that the driver

participates in a controlled substances testing

program that meets the requirements of the

regulations. This means that if a driver is

regularly employed by another employer

subject to part 382, and you use the driver to

operate your commercial motor vehicles for

two or more times in a 365-day period, you

need only check with the driver’s regular

employer once every 6 months to obtain the

pre-employment exception testing information,

if you do not want to preemployment test the

driver each time.

For example, a motor coach tour

employer regularly employs a driver to operate

Table 5.1 Pre-employment Testing Examples

REQUIRED TO TEST

The following are some examples thatdescribe situations in which an employerMUST conduct pre-employment tests,unless the employer utilizes an exception.

• A new employer just startedoperating CMVs. All drivers hiredto drive CMVs subject to this rulewill fall under the pre-employmenttesting requirements.

• A driver usually operates CMVs thatdo not require a CDL, but then isrequired to operate a CMV thatrequires a CDL for the sameemployer. A pre-employment test isrequired.

• Any driver who is hired and has notbeen part of a controlled substancesprogram that complies with theFMCSA regulations for the previous30 days must undergo a controlledsubstances test.

NOT REQUIRED TO TEST

The following are some examples thatdescribe situations in which an employermay not have to conduct pre-employmenttests.

• Employer A purchases employer B. Employer B drivers who are nowEmployer A drivers do not need tobe tested because their employmentstatus has not been interrupted.

• Pre-employment tests are notrequired when an employer’s namechanges.

• If a driver is transferred from onedivision to another within the samecompany, the pre-employmentrequirements do not apply. However, when a driver transfersfrom one wholly owned subsidiaryor independently operated companyto another, a pre-employment test isneeded, unless the driver is subjectto one of the exceptions.


motor coach tours along the Eastern seaboard.

The driver has some extra days off from the

employer. The driver asks you if you have any

trips that will take 3 days to complete. You

have a load to be delivered and have the driver

go through your hiring process.

For controlled substances testing under

your program, the driver states that he/she has

had a negative controlled substances test in the

last month. The driver provides you with a

written authorization requesting that his/her

regular employer release the information about

his/her test results for the last 6 months to your

employer. You obtain all of the records

required by the exception and verify that the

driver did have a controlled substances test in

the last month. It was verified negative and the

driver has no subsequent violations of the

prohibited conduct in subpart B.

You use the driver for the trip and the

driver returns to the motor coach employer

after completing your trip. You use the driver

again in 1 month and again after 4 months.

You are not required by the regulations to

check the driver’s testing records at the motor

coach employer when you use the driver at the

one month and four month intervals. The

driver, however, returns 7 months after you

first used him/her and since the last time you

checked the driver’s testing records. Now you

must again check with the motor coach

employer to verify that the driver continues to

participate in the motor coach employer’s

testing programs and the driver has not violated

the prohibited conduct regulations of the

FMCSA or similar DOT agencies.

Two-Year Prior Employer Checks (49 CFR

382.413/40.25)

You must also request the following

information from previous employers

concerning the driver-applicant’s participation

in a controlled substances and alcohol program

within the preceding 2 years:

1. Did the employee have alcohol tests

with a result of 0.04 or higher?

2. Did the employee have verified positive

drug tests?

3. Did the employee refuse to be tested?

4. Did the employee have other violations

of DOT agency drug and alcohol testing

regulations?

5. If you answered “yes” to any of the

above items, did the employee

complete the return-to-duty process?

6. Did a previous employer report a drug

and alcohol rule violation to you?

You must as an employer ask

prospective driver-applicants if they have failed

or refused a DOT drug or alcohol


pre-employment test within the past 2 years

from an employer who did not hire them

(§40.25(j)). With respect to any driver-

applicant who violated a DOT drug and alcohol

regulation, you must obtain documentation of

the individual’s successful completion of DOT

return-to-duty requirements (including follow-

up tests).

You must obtain the driver-applicant’s

written consent (see sample forms) to obtain

the information from the driver-applicant’s

previous employers as a condition of

employment. The FMCSA expects you to

obtain the information as soon as possible and

prior to using the driver to perform any safety-

sensitive functions other than initial road

testing of the driver. However, if this is not

feasible, you will have up to 30 days after the

driver initially performs safety-sensitive

functions to obtain the information.

If you make a good-faith effort to

obtain the information as soon as possible and

you are unable to obtain this information

within the 30-day period, you may continue to

use the driver after the 30-day period, if you

properly document your good-faith effort to

request and obtain the information. However,

if you failed to request the information from

any prior employer of the driver, you must stop

using the driver. See table 5.2 for an example

of a good-faith effort to obtain a driver’s prior

employers’ testing records.


Table 5.2. An Example of a Good-Faith Effortfor Obtaining Prior Testing Information

A good-faith effort might begin withobtaining the driver’s written consent onyour release of information form. Thedriver should complete the document at thetime the driver prepares other documents inthe hiring process (e.g., §391.21,Application for Employment.) Immediatelyafter you make your conditional offer ofemployment, send the written consent,along with how you would like theinformation transmitted to you (e.g., bysecure and confidential fax, by certifiedmail, by telephone to a designated person)to the previous employer by certified mail.

After a reasonable period, you shouldcontact the driver’s previous employers’alcohol and drug testing programmanager(s) to ask about the status of yourrequest to obtain the driver’s testing records

the previous employer(s). You should notwait until a few days before the first timeyou will use the driver to perform safety-sensitive functions to make a follow-upcontact with the previous employers.

Previous employers are required to forwardtheir testing information immediately uponreceipt of the specific written consent to youor the third-party administrator designated toreceive the information.

If a driver’s previous employer has gone outof business, refuses to comply with 49 CFRsection 40.25 requirements to forward theirtesting information about the driver to you,or if for some other reason you cannot obtainthe testing information from a particularemployer, document the facts and any relatedinformation and retain them in your files.

The information should be provided on

the release of information form sent to them.

They should sign, answer the questions, and

send it back. You are required to maintain a

written, confidential record with respect to

each past employer contacted for three years.

Once you have determined that you will

hire the driver-applicant and the driver-

applicant has provided the written consent, you

must provide to each employer the written

request authorizing release of the informaation

to you. You may wish to fax the consent form

to ensure the previous employer receives the

driver’s consent and request for information.

It is important to document the request

for, and inability to receive, information from

the driver’s prior employers. In the event of an

FMCSA investigation of your program, you

may be asked to produce this documentation

for the FMCSA investigator. (See sample

forms.)

If you have not heard from the driver’s

previous employer(s) after a day or so, you


should contact them and determine the status

of your information request. In the event that

you do not get an answer from the prior

employer, or they ignore your request,

document the attempt and file the information.

If you receive information indicating

that the driver has tested positive for controlled

substances, tested at or above 0.04 alcohol

concentration, or refused to be tested, you must

not use that driver to perform safety-sensitive

functions unless the driver has followed the

requirements of 49 CFR part 40, subpart O and

has been advised by a substance abuse

professional that the driver may return to

work. These requirements include being

evaluated by a substance abuse professional,

complying with any recommended treatment,

passing a return-to-duty test, and having at

least six follow-up tests within the first 12

months of returning to work as a driver.

If you obtain records from the driver’s

previous employers verifying that the driver

has violated 49 CFR Part 382, subpart B within

30 days of your use of the driver, you must

immediately stop using the driver and

determine what, if anything, the driver has

complied with in part 40, subpart O. If the

driver has not had a follow-up evaluation by an

SAP, after any alcohol test above 0.04, any

verified positive controlled substances test, or

the driver is refusing to test, you may not use

the driver until you have received a follow- up

letter from the SAP. The letter must follow the

format shown in 49 CFR section 40.311(d).

If the driver has not had a return-to-duty

test after obtaining a letter of compliance from

an SAP, a return-to-duty test is necessary. A

pre-employment negative controlled substances

test and an alcohol test result of less than 0.02

alcohol concentration conducted by you will

satisfy the requirement for a return-to-duty test

in this instance. However, you will be

responsible for ensuring that at least six

follow-up tests are conducted within the first

12 months that the driver is employed or used

at your organization.

If the driver has provided a previous

employer with proper documentation for return

to work and the driver has taken a return-to-

duty test or a pre-employment test at the

previous employer, but the previous employer

did not complete all of the required follow-up

tests within the first 12 months, you will be

responsible for ensuring the remaining tests are

conducted.

Section 2. REASONABLESUSPICION TESTING

The FMCSA regulations require you to

test a driver if a trained supervisor has

reasonable suspicion that the driver has used a

controlled substance or has misused alcohol as

defined in the regulations (§382.307). The

request to undergo a reasonable suspicion test


must be based on specific, contemporaneous,

articulable observations concerning the

appearance, behavior, speech, or body odor of

the driver. These observations may include

indications of the chronic and withdrawal

effects of controlled substances. The chronic

and withdrawal effects of controlled substances

may not be the sole indicator for reasonable

suspicion, but may be used in conjunction with

other indicators.

Reasonable suspicion testing is

designed to provide you with a tool to identify

affected drivers who, through alcohol or

controlled substances misuse, may pose a

danger to themselves and others in their

performance of safety-sensitive functions.

Drivers may be at work in a condition that

raises concern regarding their safety or

productivity. A supervisor must then make a

decision as to whether reasonable suspicion

exists that a controlled substance and/or

alcohol may be causing the behavior.

Supervisory Observations

Only one qualified supervisor or

company official is required to witness the

conduct of the driver; however, it is a good

business practice to have at least two qualified

supervisors or company officials witness the

conduct. Supervisors or company officials

who make the determination of whether to test

must be trained in the physical, behavioral,

speech, and performance indicators of probable

alcohol misuse and use of controlled

substances (see Chapter 4, education and

Training.)

To protect yourself and your drivers,

supervisors who make the determination that

reasonable suspicion exists to conduct an

alcohol test may not conduct the alcohol test on

that driver, unless they have been trained.

Reasonable suspicion alcohol testing is

permissible only if the supervisor’s

observations are made during, just preceding,

or just after the driver is performing safety-

sensitive functions or is attempting to perform

safety-sensitive functions. In contrast, you may

test a driver for controlled substances under

reasonable suspicion based on observations at

any time the driver is on duty.

Besides recognizing valid objective

signs and symptoms of controlled substances

use and alcohol misuse, supervisors must also

know the proper procedures for confronting

and referring the driver for testing. If

supervisors are not trained, or are not fair and

objective in requesting reasonable suspicion

tests, driver complaints of harassment will

result. Be careful not to expect that training

alone will make your supervisors experts in

detecting substance abuse.


The overt signs and symptoms of

substance abuse can often be masked and may

be subtle enough to avoid direct detection.

If a supervisor, trained to identify the

signs and symptoms of controlled substances

use and alcohol misuse, reasonably concludes

that objective facts indicate controlled

substances use or alcohol misuse, this is

sufficient justification for testing. A final

practical check is whether the supervisor would

have been less responsible in not taking action

than in asking the driver to submit to testing.

Remember, safety is the first priority!

If the alcohol test is not administered

within 2 hours following observations

triggering the request to test, you must prepare

and maintain a record stating the reasons the

alcohol test was not done promptly. If the test

is not conducted within 8 hours of the

observations triggering the request to test,

attempts to administer the test must cease, and

the supervisor shall indicate in the record the

reason the test was not conducted. If the

alcohol test is not conducted within 8 hours,

the driver shall be placed out of service for 24

hours.

For controlled substances, the driver

must report for collection within a reasonable

time. However, you are encouraged to collect

the specimen as soon as possible following the

observations triggering the request to test,

because the test’s ability to detect controlled

substances declines with the passage of time.

Supervisors making reasonable

suspicion determinations shall document those

observations within 24 hours of the observed

behavior or before the results of the controlled

substances test are released, whichever is

earlier.


Prohibited Conduct

Drivers shall not perform safety-

sensitive functions if under the influence of or

impaired by alcohol, as determined by their

trained supervisor. Following a reasonable

suspicion determination, resulting in a positive

test, supervisors shall not permit the driver to

perform or continue to perform safety-sensitive

functions until 24 hours have elapsed. If an

evidential breath test device is unavailable, the

motor carrier is required to remove the driver

from performing safety-sensitive functions

until 24 hours have elapsed. You are

prohibited from taking any additional action

under FMCSA authority against a driver based

solely on the driver’s behavior and

appearance. You may have, however,

additional policies under your own authority.

Flow charts detailing the reasonable suspicion

testing process for alcohol and controlled

substances appear in the appendix at the end of

this chapter.

Section 3. POST-ACCIDENTTESTING

The FMCSA regulations require testing

in specific CMV accidents (§382.303). An

accident is defined as an occurrence involving

a CMV operating on a public road that results

in (1) a fatality; or (2) bodily injury to a person

who, as a result of the injury, immediately

receives medical treatment away from the

scene of the accident; or (3) one or more motor

vehicles incurring disabling damage as a result

of the accident, requiring the vehicle(s) to be

transported away from the scene by a tow truck

or other vehicle.

There is a significant difference

between reasonable suspicion testing and post-

accident testing. Reasonable suspicion

requires some indication of a link between

witnessed behavior and substance abuse before

a test can be requested. Post-accident testing is

mandatory when certain criteria are met.

Drivers subject to post-accident testing

are those who

• While performing safety-sensitivefunctions are involved in an accidentresulting in the loss of human life, or

• While performing safety-sensitivefunctions are involved in a nonfatalaccident resulting in the driverreceiving a citation under State or locallaw for a moving traffic violation

arising from the accident.


Post-accident tests must be performed

as soon as possible. Controlled substances

tests must be performed within 32 hours

following the accident. Alcohol tests must be

performed within 8 hours of the accident.

If an alcohol test is not administered

within 2 hours following the accident, the

employer shall prepare and maintain a record

stating the reasons the test was not promptly

administered. If an alcohol test is not

administered within 8 hours or a controlled

substances test is not administered within 32

hours following the accident, the employer

shall cease attempts to administer the test and

shall prepare and maintain the same record.

For employers requested by FMCSA to

submit their annual calendar year summary, see

Chapter 9, Section 5, Annual Calendar Year

Summary-reporting Requirements for

instructions on reporting required post-accident

tests that were not to be administered.

Type of Citation Issued Test Must BeAccident to the CMV Performed byInvolved Driver Employer

Human Yes >> YesFatality No >> Yes

Bodily Injury Yes >> YesWithImmediateMedicalTreatment No >> NoAway Fromthe Scene

Disabling Yes >> YesDamage toAny MotorVehicle No >> NoRequiringTow Away

Drivers subject to post-accident testing

shall remain readily available for such testing

or they may be deemed to have refused to

submit to testing. Drivers subject to

postaccident testing must refrain from using

alcohol for 8 hours following the accident or

until completing a post-accident alcohol test,

whichever comes first. It is imperative that

you provide drivers with necessary post-

accident information, procedures, and

instructions prior to their operating a CMV, so

that they and you will be able to comply with

the regulations. This requirement is especially

important if your operations occur in remote

areas.

In the rare event that Federal, State, or

local law enforcement officials administer

alcohol or controlled substances tests on a

driver involved in an accident, and the results

are available to you, those results may meet

the requirements of the FMCSA regulations,

provided such tests conform to applicable

Federal, State, or local requirements and

certain conditions are met.

Alcohol tests conducted by law

enforcement officials using breath or blood

specimens will satisfy the postaccident alcohol

test requirement when you obtain the test

result. Controlled substances tests conducted

by law enforcement officials must use urine as

the body fluid tested. For examples illustrating

this concept, please refer to table 5.3,

Postaccident Law Enforcement Tests.


• An airport shuttle bus driver isinvolved in an accident on anairport access road with a non-CMVdriver and the non-CMV driver iskilled instantly. The shuttle busdriver must be tested under theFMCSA rules for both alcohol andcontrolled substances. Before theemployer learns of the accident,however, an airport police officer atthe scene determines that the shuttlebus driver should be tested foralcohol use under the airport policedepartment’s authority. The policeofficer requires the driver to submitto a blood test at the airport healthclinic using procedures developedby the airport police department foralcohol testing. When the airportshuttle bus company receives theresults of the alcohol test, the testresults will be allowed to substitutefor the FMCSA-required test. However, the airport shuttle buscompany will have to require itsCMV driver to also submit to acontrolled substances test under thisrule, since both tests are requiredafter a fatality.

• A State CMV snowplow driverruns a red light, in full view of aState police officer who witnessesthe snowplow impact a smallautomobile, injuring theautomobile driver and completelydestroying the automobile. During the investigation, theState police officer issues amoving traffic citation to theCMV driver. The officer, who is adrug recognition expert (DRE),determines that the CMV driver isprobably under the influence of asubstance, most likelyamphetamines, and requests thedriver to provide a urinespecimen for analysis. The driveris placed under arrest and theState will not allow the poice toconduct an alcohol test on thedriver while the driver is in jail.

The State’s crime laboratorydetermines the urine specimendoes contain amphetamines andwill release the test results to you.

Table 5.3 Post-Accident Law Enforcement Tests

The following examples describe situations where an employer may use test results from lawenforcement agencies in lieu of its own test results.

The requirement to test for alcohol and

controlled substances following an accident

should in no way delay necessary medical

attention for injured people or prohibit a driver

from leaving the scene of an accident to obtain

assistance in responding to an accident or to

obtain necessary emergency medical care. The

following steps should be taken in a

postaccident situation:

1. Treat injuries first. Accident

victims’ health and safety are always

a higher priority than conducting an

alcohol or controlled substances test.


2. Cooperate with law enforcement

officers. Allow law enforcement

officers to conduct their

investigation. For purposes of their

investigation, the police may require a

controlled substances or alcohol test

for a determination of the presence of

controlled substances or alcohol.

3. Explain the need for testing. Tell

your driver that a test is to be

conducted. Point out to the driver

that a negative finding will

objectively put to rest any suspicion

of controlled substances or alcohol as

a cause of the accident.

4. Conduct tests promptly. The

FMCSA regulations require that

specimen collection be performed as

soon as possible following the

accident, but within 32 hours for

controlled substances and within 8

hours for alcohol.

Flow charts detailing the post-accident

testing processes may be found in the appendix

at the end of this chapter.

Section 4. RANDOM TESTING

The FMCSA regulations require

random testing for all drivers subject to the

CDL requirements (§382.305). Random

testing identifies drivers who use controlled

substances or misuse alcohol but are unable to

predict the test as they would in the case of

post-accident or pre-employment testing. More

importantly, it is widely believed that random

testing serves as a strong deterrent against

drivers beginning or continuing prohibited

controlled substances use and misuse of

alcohol.

Selection Techniques

You must use a scientifically valid

random selection method to select drivers for

testing. Drivers can be chosen from selection

pools in several ways. These include

semiautomatic methods (using personal

computers) or manual methods (using random

number tables). The computer-based methods

are generally more efficient, but the manual

methods can be equally fair and credible.

Commercially available computer-

based random number-generating software

programs enable you to match drivers to

numbers and to select names from those lists

for random controlled substances and alcohol

tests. Some of these programs are

comprehensive, including scheduling and

recordkeeping functions. Alternatively,

spreadsheet programs, commonly used for

financial and operational analyses, often

include a routine that provides random

numbers. Those random numbers can be

assigned to your driver list and used for

selecting drivers to be tested. Because your

driver pool may fluctuate, the list of driver

names must be updated each time the pool


fluctuates for smaller employers and at least

monthly for larger employers.

If a computer program is not available

for random selection, a manual sampling

technique that uses a random number table may

be used. These tables are found in many

statistics textbooks available in libraries and

bookstores. The scientific community does not

consider drawing names out of a hat or

container to be a scientifically valid method for

sampling. While this technique is simple and

appears fair because it can be done in full view

of the affected drivers, it is actually less

random than using a computer or a random

number table because of inconsistencies in

paper size, as well as the lack of control over

the names included or excluded. Also, it is

very difficult to document how a selection is

made and who is selected for testing.

The test dates must be spread

reasonably throughout the year and should not

establish a predictable pattern (e.g., the first

Monday of each month). The number of tests

conducted weekly, monthly, or quarterly should

remain relatively constant to the extent

possible; however, drivers selected for that

testing cycle must be tested. Conducting all of

your tests in one month, for example, does not

achieve the goal of random testing. Likewise,

the testing should be performed on different

days of the week and at different times

throughout the annual cycle. This helps to

prevent drivers from coordinating their

controlled substances and alcohol use to the

random testing schedule.

Random Testing Rates

The current random testing rates under

FMCSA regulations are 50 percent for

controlled substances and 10 percent for

alcohol. This means that the number of tests to

be administered each year is equal to at least 50

percent and 10 percent, respectively, of the

average number of driver positions subject to

these regulations. Remember, a driver is

anyone who operates a CMV for you. The

driver positions will include other employees

in your organization who occasionally drive or

drive in rare circumstances.

A slightly higher percentage may have

to be selected for testing to compensate for

cancelled tests or drivers unavailable for


testing. If you join a consortium, the annual

rate may be applied to each consortium-

member employer or to all the DOT-covered

safety-sensitive drivers within the consortium.

Because the random rates for controlled

substances and alcohol are different and may

vary on a yearly basis, you may wish to

conduct separate selections for your alcohol

and controlled substances random tests;

however, you are not required to do so. You

may select for alcohol testing the first 20

percent of those drivers selected for controlled

substances testing. Other combinations for

selecting drivers for alcohol and controlled

substances testing may be used, provided you

can prove that the method is scientifically valid

and impartial toward the drivers (e.g., two-

stage selections).

The FMCSA’s random testing rates may

be adjusted based on analysis of positive

random test results within the entire CMV

industry. If this occurs, the change will be

published in the Federal Register. If the

minimum annual percentage rate changes, the

change will take effect starting January 1 of the

year following publication in the Federal

Register.

Only drivers performing safety-

sensitive functions are permitted in the random

pools. If you decide to randomly test drivers

who do not drive CMVs, those drivers must be

placed in a separate pool and tested under

separate authority, not the DOT’s or the

FMCSA’s. The pool may, however, contain

drivers subject to other DOT agency

regulations.

How to Compute the Average Number of

Driver Positions for Random Testing

There will be fluctuations in your driver

work force, which will make an accurate

computation of a testing rate important. Your

random testing program plan should take into

account these fluctuations by estimating the

number of random tests needed to be

performed over the course of a calendar year.

If your driver work force is expected to be

relatively constant (i.e., the total number of

driver positions is approximately the same or

changes at a relatively constant rate), then the

number of tests to be performed in any given

year could be determined by multiplying the

average number of driver positions by the

testing rate.

If there is a large fluctuation of driver

positions throughout the year, you must base

driver positions on the number of drivers

eligible to be tested at the time of each

selection period. The total random tests taken

for the year, however, must equal or exceed the

average number of driver positions.

For example, if you decided to perform

random selections four times a year, the number

of controlled substances tests, to be performed


during each of the four testing periods must

equal or exceed 50 percent of the number of

driver positions eligible to be tested (D),

divided by the number of test periods per year

(P). As a formula, this may be expressed as:

T = 50% x D/P

T = Total random tests (must equal or exceed)

D = Driver positions eligible to be testedP = Number of test periods per yearNote: 10 percent for alcohol

At the time of selecting the individuals

to be tested, you determined that there were an

average of 60 drivers eligible for testing during

the period covered by the February selection,

80 drivers in May, 100 drivers in August, and

70 drivers in November. Using the formula

given above, you would have to perform 8

controlled substances tests in February (50%

times 60 divided by 4 equals 7.5, rounded up to

the nearest whole number), 10 tests in May, 13

tests in August, and 9 tests in November, for a

total of 40 controlled substance tests.

However, throughout the year you

needed to perform only 39 controlled

substances tests in order to assure testing at the

50 percent rate. This figure was computed

using the same formula with D equal to the

summation of the number of drivers eligible for

testing in each of the selection periods (D = 60

+ 80 + 100 + 70 = 310 drivers), and by

completing the formula, T = 50% times 310

divided by 4 = 38.75) and rounding up to the

nearest whole number, 39. In this example,

you could perform one less controlled

substances test in the last testing period.

Since driver populations may vary

during any given period in a year, conducting

random testing only during low-driver periods

would not enable you to meet the 50 percent

random testing ratio.

Your random testing policy or plan

must be documented. The FMCSA emphasizes

that each selection for random testing must

include all your drivers to whom the rule

applies, regardless of whether or not your

drivers have been tested in the past. This

would include individuals who do not regularly

drive (such as clerks, mechanics, supervisors,

officials), but whom you expect to be

immediately available to perform the safety-

sensitive function of driving a CMV. It is quite

likely with a large driver turnover that, over the

course of the year, you will be employing/using

more drivers than there are driver positions. In

determining the number of tests, you should

use the number of driver positions, not the

number of CMV drivers used/employed during

the testing period.

To illustrate using the previous

example, in the February selection (which

represents the quarter January 1 through March

31), the employer determined that there were


an average of 60 CMV driver positions.

However, during the same quarter (at

least up to the date the employer performed the

random selection of drivers to be tested, say

February 12) the employer used/employed a

total of 75 individuals as drivers or persons

expected to be drivers. Of these 75

individuals, 15 were no longer used by the

employer at the time the selection was made

(February 12). As noted earlier, eight

individuals will be selected for controlled

substances testing and two individuals will be

selected for alcohol testing.

Random Testing Pools

To ensure that each of your drivers has

an equal chance of being selected and tested,

random testing pools must be established and

maintained. A random testing pool may

include any persons who are subject to random

testing under any DOT rule, as decided by the

employer. Likewise, a person who is subject to

more than one rule may be included in more

than one pool. For example, a person who

works for a railroad company subject to both

FRA and FMCSA rules may be included in two

separate pools or in one pool, at the discretion

of the railroad company.

A single pool may be established for

alcohol and controlled substances, provided all

drivers have an equal chance of being selected

and tested using the applicable random testing

rate (currently 10 percent for alcohol testing

and 50 percent for controlled substances

testing). As stated above, you may select for

alcohol testing the first 20 percent of the drivers

selected for controlled substance testing. Other

combinations for selecting drivers for alcohol

and drug testing may be used, provided that you

can prove that the method is scientifically valid

and impartial toward the drivers (e.g., two-stage

selections). Examples of a variety of random

testing pools may be found in the appendix at

the end of this chapter.

Sampling With Replacement

To ensure that the process is in fact

random, all drivers, whether or not they have

been chosen for testing in the past, will remain

in the pool for each subsequent selection

period. This procedure ensures that the

probability of any driver being selected each

period is always the same, whether or not the

driver was selected in a previous period. This

requirement is expected to serve as a deterrent

for those drivers who, believing that they are in

the clear, might otherwise consider using

controlled substances or misusing alcohol

following a recent negative test.

Driver Notification

After a list of drivers for random testing

has been generated, you should test those

drivers as soon as possible.


Drivers should be notified in person,

although this is not required by the

regulations. The notification should be both

oral and in writing, with a written

acknowledgment of the notification. Random

testing is nonpresumptive: that is, the driver is

not being accused of using controlled

substances or alcohol just because he/she is

selected for the test. If possible, the

notification should be conducted away from

other drivers, preferably in a private office or

outside of a vehicle.

You are responsible for ensuring that a

selected driver, once notified, proceeds

immediately to a collection site. Immediately,

in this context, means that all the driver’s

actions, after notification, lead to an immediate

specimen collection. This ensures that a driver

selected for testing will not have an

opportunity to do anything that may affect the

outcome of the test. Any activity that does not

directly lead to submitting a specimen should

not be performed until after the specimen has

been collected. You should clearly indicate, in

your random testing procedures, what these

activities are so that there will be no

misunderstandings among your drivers.

If you choose to notify your drivers

while they are “on the road,” you should

establish procedures that will allow them to

report to a nearby collection facility before

continuing their current trip. This may require

a driver to detour from a planned route.

Notifying drivers at terminals and while they

are in heavily populated areas with testing

facilities should minimize any negative effect

these procedures may have on your operations.

Testing Time Frames

A driver shall be subject to random

testing for alcohol only while the driver is

performing safety-sensitive functions, just

before the driver is to perform, or just after the

driver has ceased performing such functions.

Performing a safety-sensitive function includes

being immediately available to perform such

functions.

Obviously, the best time to test for

alcohol is before the driver begins to perform

the safety-sensitive function. However, if the

driver understands that a random test will only

be administered before he/she begins work and

there is an opportunity to drink during work,

deterrence is limited.

Controlled substances testing may be

performed at any time the driver is at work.

The driver may be performing clerical or

mechanical repair duties at the time of

notification by the employer. The driver

should not be required to report for a test in the

middle of vacation time, while sick, or on other

types of excused leave.

Availability of Drivers

When drivers are off work due to long-


term layoffs, illnesses, injuries, or vacations,

will not return before the next selection, and

are selected for random testing, you have the

following two options:

• The driver’s name could be skipped if

the driver selected is going to be gone

throughout the entire testing period.

You then may select an alternate by

using a scientifically valid method,

selecting one of the other available

drivers in the pool, then testing that

driver.

• The name could be set aside until the

driver comes back from the extended

leave, and you would conduct the test at

that time, as long as the driver returns

before the next selection.

You may not require a driver to submit

to a test while on an extended leave. If you

experience seasonal fluctuations in the number

of drivers available for testing, you should

adjust each random selection episode to reflect

the fluctuation, thereby ensuring an equal

chance of all drivers being selected.

If a driver leaves your employment or is

reassigned to nondriving duties, and at some

later point is rehired or reassigned to driving

duties, the pre-employment testing provisions

of this regulation apply. If a driver primarily

does other nondriving work for you and is on

call to drive at any time you need the driver,

the driver must be in the random testing

selection pool(s) at all times.

Flow charts detailing the random

selection process may be found at the end of

this chapter.

Section 5. RETURN-TO-DUTYTESTING

Before you allow a driver to return to

duty to perform a safety-sensitive function

following certain prohibited conduct–a verified

positive controlled substances test result, an

alcohol result of 0.04 or greater, a refusal to

submit to a test, or any other activity that

violates provisions of subpart B–that driver

must first be evaluated by a SAP, participate in

any treatment program prescribed, and pass a

controlled substances and/or alcohol return-to-

duty test (Section 40.305). In pre-employment

testing situations, a verified positive controlled

substances test or an alcohol result of 0.04 or

greater does require a visit to the SAP if you

hire the person to perform safety sensitive

functions.

The purpose of the return-to-duty test

and the evaluation of an individual’s return-to-

duty status by the SAP is to ensure that the

driver receives proper care, if needed. It is also

to provide some degree of assurance to the


employer that the individual is free of alcohol

and/or controlled substances and is able to

return to work without undue concern about

continued substance abuse.

The driver must have a verified

negative controlled substances test result or an

alcohol test result of less than 0.02 to return to

a safety-sensitive function. As in any DOT

test, if a controlled substances test is cancelled,

you shall require your driver to submit to and

pass another controlled substances test.

Flow charts detailing the return-to-duty

process can be found at the end of this chapter.

Section 6. FOLLOW-UP TESTING

Once allowed to return to duty, a driver

for whom treatment was recommended must be

subject to unannounced follow-up testing for at

least 12, but not more than 60, months. The

frequency and duration of the follow-up testing

will be recommended by the SAP as long as a

minimum of six tests are performed during the

first 12 months after the driver has returned to

duty (§40.307).

It is important to remember that follow-

up testing is separate from and in addition to

the regular random testing program. Drivers

subject to follow-up testing must remain in the

standard random pool and must be tested

whenever their names come up for random

testing, even if this means being tested twice in

the same day, week, or month.

If the driver is subject to controlled

substances follow-up tests, the SAP may also

require the driver to take one or more follow-

up alcohol tests. If the driver is subject to

alcohol follow-up tests, the SAP may require

the driver to take one or more follow-up

controlled substances tests.

Flow charts detailing the follow-up

testing process may be found at the end of this

chapter.

Section 7. PROFICIENCYTESTING

In addition to the six major driver

testing categories described above, you are

required to perform proficiency testing as a

quality assurance measure for the testing

laboratory that conducts your controlled

substances testing.

As an employer or C/TPA with an

aggregate of 2,000 or more DOT-covered

drivers, you must send blind specimens to

laboratories you use. If you have an aggregate

of fewer than 2,000 DOT-covered drivers, you

are not required to provide blind specimens.

To each laboratory to which you send at least

100 specimens in a year, you must transmit a


number of blind specimens equivalent to 1

percent of the specimens you send to that

laboratory up to a maximum of 50 per quarter.

These specimens are called blind performance

tests because the testing laboratory does not

know they are quality control specimens rather

than actual driver specimens.

The blind quality control specimens

must not be distinguishable from driver

specimens. Approximately 75 percent of the

specimens you submit must be blank (negative)

and approximately 15 percent must be positive

for one or more of the five controlled

substances, and approximately 10 percent must

be adulterated with a substance cited in HHS

guidance or substituted. If a laboratory reports

a positive on a quality control specimen that

was a blank (negative), you must notify the

DOT immediately by phone or e-mail:

Office of Drug and Alcohol Program

Compliance

U.S. Department of Transportation

(202) 366-3784 or

e-mail: www.dot.gov./ost/dapc

If a laboratory reports a negative on a

quality control specimen that was a spike

(positive), you should notify the laboratory and

attempt to discover the cause of the error.

Repeated false negative errors should be

reported to the DOT at the above address. If

the laboratory reports conflicting results on the

two parts of a non-safety-sensitive split sample,

you must report this to the DOT.

If your laboratory repeatedly reports

inaccurate or conflicting results, you should

consider changing laboratories.

DOT and FMCSA regulations do not

specify where to obtain blind performance

specimens. However, you are encouraged to

obtain blind specimens from specimen

vendors. A list of vendors is available from the

Department of Health and Human Services

(DHHS).


Chapter 5 Appendix



Accident An accident is defined as an occurrence involving a CMV operatingon a public road which results in, (1) a fatality; or (2) a bodilyinjury to a person who, as a result of the injury, immediatelyreceives medical treatment away from the scene of the accident; or(3) one or more motor vehicles incurring disabling damage as aresult of the accident, requiring the vehicle to be transportedaway from the scene by a tow truck or other vehicle.

Unless an occurrence involving a CMV meets this definition of anaccident, the accident is not considered to be an accident forpurposes of Federal post-accident alcohol and controlled substancestesting by employers of CMV drivers.

Alcohol Concentration The alcohol in a volume of breath expressed in terms of grams ofalcohol per 210 liters of breath, as indicated by an evidential breathtest. In law enforcement, this is referred to as blood alcoholconcentration (BAC).

Blind Sample, BlindPerformance, or ProficiencyTest Specimen A test submitted to a laboratory for quality control testing purposes,

with a fictitious identifier, so that the laboratory cannot distinguishit from driver specimens, and which is spiked with knownquantities of specific controlled substances or is blank, containingno controlled substances.

Disabling Damage Damage that precludes departure of a motor vehicle from thescene of the accident in its usual manner in daylight after simplerepairs.

(1) Inclusions. Damage to motor vehicles that could have beendriven, but would have been further damaged if so driven.

(2) Exclusions. (i) Damage which can be remedied temporarilyat the scene of the accident without special tools or parts. (ii) Tiredisablement without other damage, even if no spare tire isavailable. (iii) Headlamp or taillamp damage. (iv) Damage to turnsignals, horn, or windshield wipers that makes them inoperative.

Follow-Up Test Unannounced alcohol and/or controlled substances testing given todrivers who previously tested positive for a controlled substances oralcohol and are returning to duty.


Postaccident Test A test administered to a driver in certain CMV accidents. Driverssubject to postaccident testing are those who

• While performing safety-sensitive functions are involved in anaccident resulting in the loss of human life, or

• While performing safety-sensitive functions are involved in anonfatal accident resulting in the CMV receiving a citationunder State or local law for a moving traffic violation arisingfrom the accident, and

(1) There is bodily injury to a person who, as a result of the injury,immediately receives medical treatment away from the scene ofthe accident; or

(2) One or more motor vehicles incurs disabling damage as aresult of the accident, requiring the vehicle to be transportedaway from the scene by a tow truck or other vehicle.

Pre-employment Test A test given to an applicant or driver who is being considered for asafety-sensitive position.

Random Test A test administered to a predetermined percentage of drivers whoperform safety-sensitive functions and who are selected on ascientifically defensible random and unannounced basis.

Reasonable Suspicion Test A test given to a driver who performs a safety-sensitive function andwho is reasonably suspected by a trained supervisor of using acontrolled substance or misusing alcohol.

Return-to-Duty Test A controlled substances and/or alcohol test prior to return to duty.


Flow Charts



There are many ways to establish a random testing pool. The rules allow for a variety of pooltypes to account for the variety of employer arrangements among employers regulated by theFMCSA. The physical form of the pool is not specified. However, there must be some method ofidentifying all the individuals in the pool for each selection (e.g., a hard copy or electronic list ofeach person’s name, social security number, driver identification number, or other unique identifier). The following examples illustrate several possible pool arrangements. They are not the onlyacceptable arrangements.

Example 1: Company-Based Pool for Random Drug and Alcohol Testing

This pool consists of all drivers subject to random testing. Drivers are selected usingone of the following methods:

1. Names are drawn for controlled substances testing and the first 20% of the selectedgroup of names are selected for alcohol testing. It is imperative that after the firstdraw for the controlled substances testing, the names are not alphabetized beforeselection for the alcohol testing.

2. Names are drawn for controlled substances tests and then the names are returned tothe pool for a second selection of names for alcohol testing.

Example 2: Company-Based Program With Separate Pools for Random ControlledSubstances and Alcohol Testing

These pools are maintained separately for random controlled substances and randomalcohol testing. This situation would be necessary when some persons are not subjectto random alcohol testing but are subject to random controlled substances testing (as isthe case with a person who is subject to both FMCSA and RSPA rules, or FMCSA andUSCG rules).

Example 3: Company-Based Pool for “Full-Time” Drivers and a Variety of Pools for “Part-Time” Drivers

This arrangement would be applicable for employer operations that use “trip-lease”drivers.

Example 4: Consortia-Based Pool

These pools are maintained by a consortium. Part of the services provided by aconsortium may involve maintaining the random testing pool(s) by using payrollinformation from each member system to update the pool membership. Becausedrivers of all employers are pooled together, the pool is large enough that thelikelihood of any one driver being repeatedly selected is lessened. Likewise, since noemployer representative is involved in the selection process (all selection is done bythe consortium), no driver need fear that he or she has been unfairly singled out fortesting.


Manual Random Sampling Technique


Manual Random Sampling Technique

The following manual procedure can be used for randomly selecting drivers for testing. However, itis recommended that a software program be used for random number generation.

Make a copy of table 5.4 and Worksheets 1 and 2, which follow these instructions.

Worksheet 1

1. Enter the current date on Line A.

2. On Line B, enter the total number of drivers who are subject to random selection for testing.

3. Below Line B, list the badge numbers, identification (ID) numbers, or Social Securitynumbers of all drivers who must be randomly tested in numerical order from the smallest tothe largest. Assign numbers in sequence to these badge, ID, or Social Security numbers. (For example, assign the number “1” to the driver with the smallest ID number, the number“2” to the driver with the next highest number, etc.) Use continuation pages of Worksheet 1if necessary. Alternatively, you can write the numbers in sequence next to the driver badge,ID, or Social Security number on a computer printout.

Worksheet 2

1. Complete Lines A through D. (The total number of drivers on Line C should be the same asthe number on Line B of Worksheet 1.)

2. Select any number on any one of the four pages of table 5.4. This can be done by placingyour finger, with your eyes closed, on one of the four pages. Write the number selected inthis way on Line E.

3. Write the first two digits of the number you selected on Line F. This is your “row number”key.

4. Write the next two digits on Line G. This is your “column number” key.

5. Pick the range of column headings on table 5.4 that contains the number on Line G and enterit on Line H.

6. Find the page of table 5.4 on which your row and column numbers (from Lines F and G)appear and enter the page number (1, 2, 3, or 4) on Line I.

7. On the page recorded on Line I, find the five-digit number across from the row number(recorded on Line F) and the column number (recorded on Line H) and enter it on Line J. This is your “starting location.” Place an asterisk beside it.

8. On Line K, enter the fifth digit of the number on Line E. This number gives you thedirection in which to move from your starting location (marked with an asterisk) on table5.4. If the number is 1, 2, or 3, you move up; if the number is 4 or 5, you move to the right;if the number is 6, 7, or 8, you move down; and if the number is 9 or 0, you move to the left. Circle the direction on Worksheet 2.


9. Count the number of digits in the number of drivers from which you are selecting a group tobe tested (on Line C). Enter a “1” on Line L if the total number of drivers is between 1 and 9;enter a “2” if the total number is between 10 and 99; enter a “3” if the number is between 100and 999, etc. This is your “scanning size.”

10. Move from your starting location (marked with an asterisk) in the direction indicated by thenumber on Line K. In each five-digit entry that you come to, scan the number of digits thatcorrespond to the number entered on Line L until you come to a number that is less than yourtotal number of affected drivers. Record those digits at the bottom of Worksheet 2 until youhave selected as many numbers as drivers to be tested (that is, as many numbers as are listedon Line D).

Do not select the same number twice. Continue until you have chosen enough differentrandom numbers for all your drivers. You may have to skip many numbers becausethey are larger than the number of your drivers.

If the scanning direction is to the right, continue on the next row down. If the scanningdirection is to the left, continue on the next row up. If the scanning direction is down,continue on the next column to the right. If the scanning direction is up, continue on thenext column to the left. If you run out of numbers on the page, continue to the followingpage if you are scanning to the right or down. Continue on the preceding page if you arescanning to the left or up.

11. The list of numbers you select in this random manner corresponds to the numbers you earlierassigned in sequence to your drivers. The drivers whose sequence numbers were selected bythis method are the drivers to be tested on the proposed date.

Add the ID number of new drivers to Worksheet 1. If a driver leaves the random numberpool, remove the ID number.


Table 5.4


Table 5.4 (Continued)


Worksheet 1

(A) Current Date: ______

(B) Total No. of Safety-Sensitive Functions:

SEQUENCENUMBER DRIVER ID NUMBER

1.2.3.4.5.6.7.8.9.10.11.12.13.14.15.16.17.18.19.20.21.22.23.24.25.26.27.28.29.30.31.32.33.34.35.36.37.38.39.40.


Worksheet 2

(A) Current Date:

(B) Proposed Testing Date:

(C) Total No. of Drivers in SelectionPool:

(D) No. of Tests Needed on ProposedTest Date:

(E) Key to Starting Location:

(F) Row Number of Starting Location:

(Digits 1-2 of entry E)

(G) Column Number Key:

(Digits 3-4 of entry E)

(H) Column Heading of StartingLocation using (G): ( - )

(I) Page of Table 5-4 which containsrow from entry (F) and columnheading from Entry (H): (Page1,2,3, or 4)

(J) Starting Location Number found onpage (I), row number (F), andcolumn heading (H):

(K) Code for Direction from StartingLocation (Digit 5 from entry E): (1,2,3 = up 4,5 = right 6,7,8 = down 9,0 = left)

(L) Scanning Size: Total no. of digitsused to write entry (C) = 1,2,3, or4:

ORDER OF SELECTED ORDER OF SELECTED ORDER OF SELECTEDSELECTION NUMBERS SELECTION NUMBERS SELECTION NUMBERS

1.2.3.4.5.6.7.8.9.10.11.12.13.14.15.16.17.18.19.20.

_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

21.22.23.24.25.26.27.28.29.30.31.32.33.34.35.36.37.38.39.40.

_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

41.42.43.44.45.46.47.48.49.50.51.52.53.54.55.56.57.58.59.60.

_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________


Sample Forms


RELEASE & DOCUMENTATION OF PRE-EMPLOYMENT TESTING INFORMATION BYAPPLICANT/DRIVER REQUIRED BY PART 40.25(j).

PART 40.25(j) requires Employers to ask Applicant/Driver whether he/she has tested positive orrefused to test on any Pre-employment alcohol or drug test administered by an Employer to whichthe Applicant/Driver applied but did not obtain safety sensitive transportation work covered byDOT agency alcohol and drug testing rules during the past two (2) years.

NAME_____________________________________ DATE ___________________

SOCIAL SECURITY # ____________________________

Applicant/Driver to answer items listed below.

During the past two (2) years have you tested positive on a Pre-employment alcohol or drug test

administered by Employer to which you applied for but did not obtain a safety sensitive transportation

work covered by Department of Transportation (DOT) drug and alcohol testing rules?

YES _________________ NO ___________________

During the past two (2) years have you refused to test on a Pre-employment alcohol or drug test

administered by an Employer to which you applied for but did not obtain a safety sensitive transportation

work covered by the Department of Transportation (DOT) drug and alcohol testing rules?

YES __________________ NO ___________________

If you answered YES to either of the questions above, please provide documentation of your success-ful completion of the return –to-duty process required by Part 40 Subpart O.

Date _____________________ Name (printed) _____________________________

Signature of Applicant/Driver_____________________________________________

Witness_______________________________________________________________

Record keeping requirements: If “Yes” to either question –5 year retention. If “No” to either question-discard after employment terminates.

Controlled Substances Testing Procedures6 - 1

Chapter 6.CONTROLLEDSUBSTANCES TESTINGPROCEDURES

DOT’s final rule, 49 CFR part 40,

“Procedures for Transportation Workplace Drug

and Alcohol Testing Programs,” took effect

August 1, 2000. The rule modified and

expanded the procedural requirements for

controlled substances testing, including

specimen collection procedures, laboratory

testing procedures, medical review officer

(MRO) procedures, and substance abuse

professional (SAP) procedures, and service

agents (SA) procedures.

The remainder of this chapter discusses

the interaction of DOT and FMCSA regulations

in defining your controlled substances testing

program. At the end of this chapter you will

find a section titled “Regulatory Revisions,”

which discusses the old DOT and FMCSA

regulations and the revised DOT and FMCSA

regulations.

Under the FMCSA controlled substances

regulation, you are required to conduct

Controlled Substances Testing Procedures 6 - 2

laboratory testing of urine specimens for five

types of controlled substances. Identification

of either a controlled substance or its

metabolite in the urine indicates use of the

controlled substance in the recent past. A

metabolite is a modified form of a controlled

substance that has been chemically altered by

the body’s metabolic system.

The FMCSA regulation requires testing

for the following controlled substances (or

their metabolites): marijuana, cocaine, opiates,

phencyclidine (PCP), and amphetamines. The

regulatory requirement is found in 49 CFR,

section 40.85.

You may test for additional controlled

substances under your own authority provided

that

1. A separate void (act of urination) isused to collect the specimen undercompany authority.

2. The specimen is not poured off fromthe DOT-mandated specimen.

3. Your drivers are informed that testingfor additional controlled substances isnot required under the DOTregulations.

4. The non-DOT specimen is collected

after the DOT specimen.

It is also important to establish the exact

purpose of each testing process so that your

drivers are not confused or unclear about what

is required of them by the DOT controlled

substances testing regulations and procedures,

versus additional requirements imposed by

your company’s policy.

You will need certain specialized

services to establish an effective controlled

substances testing program and implement the

requirements of the DOT and FMCSA

regulations. These services include specimen

collection, laboratory testing, MRO and SAP.

Section 1. SPECIMENCOLLECTION

DOT regulations require that all urine

specimens be collected at an appropriate

collection site. A collection site is defined as

“a place designated by the employer where

individuals present themselves for the purpose

of providing a specimen of their urine to be

analyzed for the presence of controlled

substances.” You are required to designate

such a site or sites, depending on your needs.

Typically, collection sites are at physicians’

offices, commercial collection sites, or a local

hospital or clinic. You may also wish to

establish collection sites on your premises.


In all cases, the person who performs the

collection must be properly qualified (see 49

CFR subpart C).

Regardless of where the collection site is

located, it must meet the DOT guidelines

established in “Procedures for Transportation

Workplace Drug and Alcohol Testing

Programs” (49 CFR part 40). That regulation

requires, in part, that the site provide a privacy

enclosure for urination, a toilet, a suitable clean

writing surface, and a water source for hand

washing, which, if practicable, should be

outside the privacy enclosure. The collection

site must be secured when not in use or, if this

is not possible (e.g., when a public restroom is

used), the site must be visually inspected prior

to specimen collection to ensure that

unauthorized persons are not present and that

there are no unobserved entrance points.

Access to the site must be restricted during

specimen collection. To assist the specimen

collector in determining if your driver has

attempted to dilute his/her specimen, a bluing

agent must be added to the toilet water, and

other sources of water (such as a sink or

shower) should be turned off or taped to

prevent use (if they are located within the

privacy enclosure where urination occurs). At

a minimum, other sources of water must be

monitored to ensure that they are not used to

adulterate the sample.

If you use an off-site collection site

staffed by medical/technical personnel, it must

meet DOT requirements. You should provide a


complete copy of 49 CFR part 40 to the

contract facility representative and require

compliance with all applicable DOT

requirements as part of the contract. The site

personnel should acknowledge receipt of the

regulations and maintain a copy in their files.

In addition, the minimum collection site

facility specifications should be included in the

contract.

Collection Site Personnel

The collection site personnel are

responsible for the integrity of the specimen

collection and transfer process and for ensuring

the dignity and privacy of the donor. They

should avoid any remarks that may be

construed as accusatory, offensive, or

inappropriate. You should ensure that all

collection site staff are trained to prepare the

collection site, collect specimens, examine

specimens for tampering or sample

adulteration, observe collections, split the

specimens, and properly label and preserve the

chain of custody of specimens.

You may choose to contract for

collection site services or you may establish

your own site with trained staff. Contracting

for this service eliminates the need to establish

a secure collection site and to train staff in

collection procedures. Further, it removes your

staff from direct involvement in the collection

and testing process and turns these functions

over to impartial outside technical persons who

have no direct relationship with your drivers.

Contracting for collection services, however,

does not relieve you from responsibility for

ensuring that the complete collection process

meets all applicable regulatory requirements

established by the FMCSA and the DOT.

You may operate your own collection

site if staff receive proper training on preparing

the collection site, collecting samples,

examining samples for tampering or

adulteration, observing collections, and

properly labeling and preserving the chain of

custody of samples, and have met the

qualification requirements found in 49 CFR,

section 40.33. Medical professionals and

technicians are obvious choices for collection

site staff by virtue of their training; however,

they are also required to meet the same

qualifications for collectors. Regardless of the

background and training of collection site staff,

you should provide them with clear written

instructions on collecting specimens. These

instructions should emphasize their

responsibilities to maintain the integrity of the

specimen collection and transfer process and to

protect the dignity and privacy of the driver

providing the sample.


The direct supervisor of the driver

should not serve as the collection site person

for a urine test, unless there is no other way to

collect the specimen.

Chain-of-custody procedures ensure that

each specimen is monitored throughout the

collection and analysis process. This ensures

that the results you receive are from tests

conducted on your drivers’ specimens. The

requirements for the proper way to fill out the

Custody and Control Form (CCF) are found at

49 CFR, section 40.45.

Supplies

The following supplies, equipment, and

documents will be needed at each collection

site you use.

• Single-Use Collection Cups: the cups

must be individually and securely

wrapped and shall be unwrapped in the

presence of the driver at the time of

specimen collection.

• Single-Use Specimen Bottles— The

specimen bottles should be constructed

of high-density plastic or similar

synthetic material with a leakproof cap.

The bottles must be capable of being

shipped in appropriate packing material

without leaking or breaking, and must

meet the technical specifications of the

carrier selected for specimen transfer.

Each bottle shall be individually and

securely wrapped and shall be

unwrapped in front of the driver at the

time of specimen collection. One bottle

must be capable of holding at least 60

ml of urine.

• Single-Use Temperature Measurement

Device: the device shall be capable of

measuring temperatures within the

range of 32° to 38° Centigrade.

• Urine CCF: this form is used by the

collector to document the exchanges of

the specimen from the time of

production by the donor until the test is

completed. It documents the chain of

custody and is legal evidence that the

reported test results apply to the donor.

A sample form is included in the

appendix at the end of this chapter.

• Tamper-Evident Sealing System:

Preprinted labels and seals should be

provided that reveal whether the

specimen bottle has been opened. The

bottle must be identified with a unique

identifying number identical to that

appearing on the urine CCF.

• Shipping Containers: the containers

should be acceptable to the carrier you

will be using and should be sealable to

prevent undetected tampering.


• Writing Instruments: a pen or other

instrument suitable for making

permanent markings on labels and seals

and for legibly completing the urine

CCF should be provided.

• Written Instructions: written

instructions should be provided for

collection site personnel. The

instructions should describe in detail

the procedures for collecting and

transporting specimens and completing

the CCF. These instructions should be

available at all times for reference and

may be provided in a checklist format

to allow the collection site personnel to

indicate when each step in the

collection process has been

accomplished.

Drivers subject to testing must be

provided written instructions explaining their

responsibilities. Examples written instructions

for drivers and collection site personnel are

provided in the appendix at the end of this

chapter.

Collection Process

Specimen collection is the most critical

aspect of the controlled substances testing

program. There is a greater opportunity for

human error or compromising a driver’s

privacy and dignity in the collection process

than anywhere else in the controlled substances

testing process. However, strict maintenance

of the chain of custody of the specimen and

personnel training can minimize the problems

and number of test cancellations resulting from

flawed specimen collections. Driver

confidence in, and acceptance of, the testing

process is enhanced when your collection is

conducted with efficiency and

professionalism. You should, therefore, ensure

that the collection site personnel rigorously

follow your guidelines for specimen collection.

An overview of key steps and criteria

for the collection process follows. The

collection site personnel must follow these

steps during the collection process. For

specific requirements, refer to 49 CFR

subpart E.

1. Make sure that only approved DOT

urine CCFs are used. Some collection

sites do testing for a number of clients

who may require different forms,

including non-DOT collections.

2. Inspect the collection room before

and after each specimen collection.

Remove any unauthorized persons and

materials that could be used to

adulterate the specimen. Secure any

other doors or windows opening into

the collection room. Restrict access to

the room while the collection is taking

place.


3. Verify the identity of the driver

through the use of an official photo

identification card (CDL). If the

driver cannot produce the CDL have

the designated driver representative

(DDR verify the driver. If identity

cannot be verified, the collection should

not proceed. The employer must be

notified if the driver fails to report or

arrives more than 30 minutes late for

the appointment.

4. Request that drivers check their

belongings and remove any

unnecessary outer garments,

including purses, briefcases, and

bulky outerwear (sweaters, jackets,

vests, etc.). The collector must request

that the driver empty his/ her pockets,

display any personal items, and the

collector must determine whether or not

the items could be used to adulterate

the specimen. The collector must allow

the driver to retain his/her wallet.

5. Have the driver wash and dry his/her

hands.

6. Select or allow the driver to select an

individually wrapped or sealed

collection container from collection

kit materials. Unwrap the collection

cup or specimen bottle in front of the

driver and direct the driver to the

privacy enclosure. Do not enter the

enclosure. Do not observe the

specimen collection. Instruct the driver

that at least 45 ml of urine are required

and that the temperature will be taken

to ensure the integrity of the sample.

The donor must urinate into a collection

cup or specimen bottle. Only one

specimen should be collected at a time.

If you test for controlled substances

other than those specified by the

FMCSA regulation, a completely

separate urine collection with its own

non-DOT custody-and-control form is

required.

7. If the driver is unable to provide at

least 45 ml, the collection site

technician shall discard the

insufficient specimen and instruct the

driver to drink not more than 48

ounces of fluids during a period of up

to 3 hours. The driver will then

attempt to provide a complete sample

using a fresh collection container. If

the driver is still unable to provide an

adequate specimen, testing shall be

discontinued and the employer

notified. The MRO shall refer the

driver for a medical evaluation to

determine whether the driver’s inability


to provide a specimen is genuine or

constitutes a refusal to submit to a

controlled substances test.

8. If a collection container is used, the

collection site person pours the urine

into two specimen bottles in the

presence of the donor. Thirty (30) ml

shall be poured into one bottle, to be

used as the primary specimen. At least

15 ml shall be poured into the other

bottle, to be used as the split specimen.

If a specimen bottle is used as a

collection container, the collection site

person shall pour 15 ml of urine from

the specimen bottle into a second

specimen bottle (to be used as the split

specimen) and retain the remainder (at

least 30 ml) in the collection bottle (to

be used as the primary specimen).

9. Within 4 minutes of receiving the

specimen, record the temperature.

The temperature must be between

32° and 38° Centigrade (90° and 100°

Fahrenheit). Any specimen

temperature that is out of range requires

the specimen temperature box to be

checked “No.” and Enter in the

“remarks” line the findings concerning

the temperature. If the specimen

temperature is out of range, the

collector must immediately collect a

new specimen using direct observation

procedures (see §40.67). The

collector will then send both specimens

to the laboratory.

10. The collector must inspect the

specimen for unusual color, presence

of foreign material, or other signs of

tampering. The collector must

immediately collect a new specimen

using direct observation procedures

(see §40.67). The collector will then

send both specimens to the laboratory.

11. If the driver refuses to cooperate

with the collection process, inform

the DER and document the

noncooperation on the urine CCF.

Discard any specimen the driver has

provided during the collection process.

12. Seal and label both bottles in the

presence of the donor. The label(s)

must be printed with the same specimen

identification number as the CCF and


be attached to the specimen bottles.

The donor initials the labels, verifying

that the specimen is his/hers.

13. Complete the CCF. The collection site

technician and the donor must sign the

appropriate certification statements on

the form regarding authenticity of the

specimen information provided and the

integrity of the collection process.

Each transfer of custody must be noted

on the chain-of-custody portion of the

urine CCF. Every effort should be

made to minimize the number of

persons handling the specimen.

14. Seal both the primary specimen and

the split specimen in a single

shipping container, together with the

appropriate pages of the CCF. The

tape seal on the container shall bear the

initials of the collection site person and

the date of closure.

15. Place the specimen in secure storage

until dispatched to the laboratory.

Split Sample

The urine specimen must be split and

poured, except as noted in item 10 above, into

two specimen bottles. This provides the driver

with the option of having an analysis of the

split sample. This analysis must be performed

at a separate DHHS laboratory should the

primary specimen test result be verified

positive. The driver has 72 hours after being

informed of a verified positive test by the

MRO to request a test of the split sample. The

request must be made to the MRO, and the

employer must ensure the test is conducted.

Direct Observation Collections

Procedures for collecting urine

specimens shall allow individual privacy

unless there is a reason to believe that a

particular individual may alter or substitute the

specimen to be provided. As an employer you

must direct an immediate collection under

direct observation with no advance notice to

the driver if

1. The laboratory reported to the MRO

that a specimen is invalid and the MRO

reported to you that there was not an

adequate medical explanation for the

result; or

2. The MRO reported to you that the

original positive, adulterated, or


substituted test result had to be

cancelled because the test of the split

specimen could not be performed.

3. As an employer, you may direct a

collection under direct observation of a

driver if the drug test is a return-to-duty

test or a follow-up test.

As a collector, you must immediately

conduct a collection under direct observation if

you are directed by the DER to do so.

Specimen Cancellations

The DOT has issued the following

guidance identifying certain errors and

omissions as “fatal flaws” that occur at a

collection site and can result in a specimen

being rejected by the testing laboratory:

1. No printed collector name and no

collector signature.

2. The specimen identification number on

specimen bottle does not match the

number on the CCF.

3. The specimen bottle seal is broken or

shows evidence of tampering.

4. Because of leakage or other causes,

there is an insufficient amount of urine

in the primary specimen bottle for

analysis.

Correctable Flaws

Under the new collection rules, laboratories

must attempt to correct any of the following

flaws:

1. The collector’s signature is omitted on

the certification statement on the CCF.

2. The driver’s signature is omitted from

the certification statement, unless the

driver’s failure or refusal to sign is

noted on the “Remarks” line of the

CCF.

3. The certifying scientist’s signature is

omitted on the laboratory copy of the

CCF for a positive, adulterated,

substituted, or invalid test result.

4. The collector uses a non-Federal form

or an expired Federal form for the test.

This flaw may be corrected through the

procedure set forth in §40.205(b)(2),

provided that the collection testing

process has been conducted in

accordance with the procedures of this

part in a DHHS-certified laboratory.

The collector must provide a signed

statement (i.e., a memorandum for the

record). It must state that the incorrect

form contains all the information

needed for a valid DOT drug test, and

that the incorrect form was used

inadvertently or as the only means of

conducting a test, in circumstances


beyond your control. The statement

must also list the steps you have taken

to prevent future use of non-Federal

forms or expired Federal forms for

DOT tests. You must supply this

information on the same business day

on which you are notified of the

problem, transmitting it by fax or

courier.

Section 2. LABORATORYTESTING

The scientific techniques used in

controlled substances testing are virtually error-

free when properly applied. The combination

of immunoassay screening with confirmation

by gas chromatography/mass spectrometry

(GC/MS) makes the possibility of error

extremely remote. In the past, most errors in

test results were the result of human error in

specimen handling or documentation, both of

which have been reduced in recent years by

using detailed test protocols and stringent

quality control checks.

All controlled substances testing under

the FMCSA regulations must be completed in a

laboratory certified by the Department of

Health and Human Services (DHHS). These

laboratories have been rigorously inspected and

tested and meet the highest standards for

analytical competence. A list of certified

laboratories is updated on a monthly basis, and

current lists are printed in the Federal Register

and are found on the Web at www.dot.gov/ost/

dapc.

You should enter into a contract for

primary laboratory services that specifically

states the activities to be performed and the

cost for such services. You should also enter

into a contract with a second laboratory for

split-sample analysis, and to serve as a back-up

in case problems arise with the first laboratory.

The DOT regulation requires an

immunoassay test as the initial test. If any

prohibited controlled substance registers above

the cut-off level on the immunoassay screen, an

aliquot of the same urine specimen must be

confirmed by GC/MS.

The initial test result is based on the

ability of antibodies to recognize controlled

substances in biological fluids. Immunoassay

tests, called screens, are simple to run, often

automated, and relatively inexpensive.

The confirmatory tests are more

accurate, more time-consuming, require

sophisticated laboratory equipment, and thus

are more expensive than immunoassay

screens. The only confirmatory test permitted

by 49 CFR part 40 is GC/MS.


You must ensure that the laboratory

meets the following standards for analytical

controlled substances testing:

• The laboratory must be DHHS-

certified.

• The laboratory must use an

immunoassay technique to screen urine

specimens for the specific controlled

substances.

• The laboratory must confirm all

positive screens with GC/MS.

• All confirmed positive specimens must

be retained by the laboratory for a

minimum of 1 year.

• The laboratory must provide secure

storage for the split-sample. If directed

by the MRO, the laboratory shall

forward the split-specimen bottle (with

seal intact), a copy of the MRO request,

and the split-specimen copy of the CCF

to a different DHHS-approved

laboratory.

• Prior to finalizing the contract with the

laboratory, you and driver

representatives may want to personally

inspect the laboratory.

• The laboratory must provide to you a

statistical summary report every 6

months, on January 20 and July 20 each

year. You should also request a copy

upon an audit by FMCSA. This

summary must be consistent with 49

CFR part 40.

Section 3. MEDICALREVIEW OFFICER

The FMCSA regulation requires that all

controlled substances testing laboratory results

be reviewed by a qualified MRO. The purpose

of this review is to verify and validate test

results.

An MRO is defined in the regulation as

a licensed physician (M.D. or D.O.) responsible

for receiving laboratory results generated by an

employer’s controlled substances testing

program. The MRO must have knowledge of

substance abuse disorders and appropriate

medical training to interpret and evaluate an

individual’s confirmed positive test result,

together with his or her medical history and any

other relevant biomedical information.

MRO Responsibilities

The MRO is required to perform the

functions found in 49 CFR subpart G.

• Receive all of the results of controlled

substances tests from the laboratory.


• Review the CCF to ensure its accuracy.

• Review and interpret a driver’s

confirmed positive, adulterated,

substituted, or invalid test result by (1)

reviewing the driver’s medical history,

including any medical records and

biomedical information provided; (2)

affording the driver an opportunity to

discuss the test result; and (3) deciding

whether there is a legitimate medical

explanation for the result, including

legally prescribed medication.

• Report each verified test result to the

DER or to the C/TPA if you are using

one.

• Maintain all necessary records and send

the test results to the DER or to the C/

TPA if you are using one.

• Protect the driver’s privacy and testing

program confidentiality.

• Contact the driver directly (i.e., actually

talk to the driver), on a confidential

basis, to determine whether the driver

wants to discuss the test result. In

making this contact, the MRO must

explain to the driver that, if he/she

declines to discuss the result, you will

verify the test as positive or as a refusal

to test because of adulteration or

substitution, as applicable.

• Notify drivers who have verified

positive tests that they have 72 hours in

which to request a test of the split

specimen. If a driver requests an

analysis of the split specimen within 72

hours of having been informed of a

verified positive test, the MRO shall

direct the laboratory, in writing, to ship

the split specimen to another DHHS-

certified laboratory for analysis.

Reporting a verified positive result is

not delayed pending the split-specimen

analysis.

— If the analysis of the split

specimen fails to confirm the

presence of a controlled

substance(s) or metabolite(s), or

if the split specimen is

unavailable or inadequate for

testing, cancel the test and

report the cancellation and the

reasons for it to the employer,

the DOT, and the driver.

— If the driver has not contacted

the MRO within 72 hours of

being notified of a verified

positive controlled substances

test, the driver may present to

the MRO information

documenting that serious

illness, injury, inability to


contact the MRO, lack of actual

notice of the verified positive

test, or other circumstances

unavoidably prevented the

driver from contacting the MRO

in time.

— If the MRO concludes that there

is a legitimate explanation for

the driver’s failure to contact

the MRO within 72 hours, the

MRO shall direct that the

analysis of the split specimen be

performed.

— If there is no legitimate

explanation for the driver’s

failure to contact the MRO

within 72 hours, then a split

specimen does not have to be

tested..

— If, after making three reasonable

efforts within 24 hours (and

documenting them), the MRO is

unable to reach the driver

directly, the MRO shall contact

the DER, who shall direct the

driver to contact the MRO

within 72 hours. If, after

making three reasonable efforts

within 24 hours (and

documenting them), your DER

is unable to contact the driver,

the MRO will report the

positive results. This will occur

10 days after the date of the

laboratory report.

Medical Information Obtained From the

Driver During the Verification Process

The MRO must disclose medical information

provided by the individual as part of the testing

verification process to a third party without the

driver’s consent. The circumstances under

which the MRO must disclose such

information are in §40.327:

• The information is likely to result in the

driver being determined to be medically

unqualified under any applicable DOT

agency regulation; or

• The information indicates that

continued performance by the driver in

a safety-sensitive function could pose a

significant safety risk; or

• The third parties include the employer,

a physician, or other health care

provider responsible for the medical

qualification of the driver, an SAP, the

FMCSA, or the National Transportation

Safety Board (NTSB).


Discussions With the Driver

The MRO must tell the driver that the

laboratory has determined that the driver’s test

result was positive, adulterated, substituted, or

invalid, as applicable. The MRO must also tell

the driver of the drugs for which his/her

specimen tested positive, or the basis for the

finding of adulteration or substitution.

The MRO must explain the verification

interview process to the driver and inform the

driver that the decision will be based on

information the driver provides in the

interview.

The MRO must explain that, if further

medical evaluation is needed for the

verification process, the driver must comply

with the MRO’s request for this evaluation and

that failure to do so is equivalent to expressly

declining to discuss the test result.

The MRO must warn a driver who has

a confirmed positive, adulterated, substituted,

or invalid test that the MRO is required to

provide to third parties drug test result

information and medical information affecting

the performance of safety-sensitive duties that

the driver discloses in the verification process,

without the driver’s consent (see §40.327).

The MRO must give this warning to the

driver before obtaining any medical

information as part of the verification process.

The MRO must also advise the driver

that, after informing any third party about any

medication the driver is using pursuant to a

legally valid prescription under the Controlled

Substances Act, the MRO will allow 5 days for

the driver to have the prescribing physician

contact him/her to determine if the medication

can be changed to one that does not make the

driver medically unqualified or does not pose a

significant safety risk. If the MRO receives

such information from the prescribing

physician, he/she must transmit this

information to any third party to whom the

MRO previously provided information about

the safety risks of the driver’s other

medication.

The driver must provide documentation

(e.g., a doctor’s report, a copy of a

prescription) as proof of the legitimate use of

medication. The MRO should be certain to set

a deadline for receipt of any medical

information offered by the driver.

Explanations for Legitimate Confirmed

Positive Test Results

Explanations for a legitimate confirmed

positive test result might include the use of

legally prescribed or dispensed medication or

the ingestion of substances that produce the

same metabolites as an illegal substance.

Examples of legitimate medical treatment are


• Codeine prescriptions for coughing

and/or pain

• Narcotic analgesics prescribed for pain

• Tetrahydrocannabinol prescribed to

cancer patients for anti-emetic purposes

and to Acquired Immune Deficiency

Syndrome (AIDS) patients for weight

loss

• Cocaine prescribed as a topical or a

vasoconstrictive anesthetic

• Schedule V opiate-containing

preparation (e.g., cough suppressants

and antidiarrheal preparations

containing paregoric).

Medical judgment is required on a case-

by-case basis. If satisfied that there is a valid

medical reason for the confirmed positive test,

the MRO will assure the driver that all

information relating to the confirmed positive

test and valid explanation will remain

confidential. The MRO will verify the test

result as negative and any report to the

employer will indicate that the test is negative.

The original laboratory-confirmed positive

result should never be provided to you, the

employer, and would be a violation of the rule.

Reporting a Verified Positive Test Result

If, after appropriate review, the MRO

concludes that no legitimate medical reason

exists for a confirmed positive test, and that the

chain-of-custody and laboratory procedures

were correct, the MRO must report the verified

positive test and the identity of the substance(s)

to the employer or designated agent according

to established company procedure and DOT

regulations( §40.163.) Once a positive test

result is verified, the MRO signs the

verification statement of Copy 2 of the CCF. A

copy of Copy 2 is the recommended way to

report the results. The MRO should also

document for his/her own files the basis for

having made the positive determination. The

MRO must retain the testing results for

positive, adulterated or substituted results for a

minimum of 5 years.

49 CFR section 40.163 requires the

MRO to report to you the results of every

controlled substances test. If the MRO does not

use a copy of Copy 2 of the CCF, the report

must, at a minimum, include the following

information:

(1) Full name, as indicated on the CCF, ofthe driver tested,

(2) Specimen ID number from the CCF andthe donor SSN or driver ID number,

(3) Reason for the test, if indicated on theCCF (e.g., random, post-accident),

(4) Date of the collection,

(5) Date you received Copy 2 of the CCF,

(6) Result of the test (i.e., positive,negative, dilute, refusal to test, test


cancelled) and the date the result was

verified by the MRO,

(7) For verified positive tests, the drug(s)/

metabolite(s) for which the test was

positive,

(8) For cancelled tests, the reason for

cancellation and

(9) For refusals to test, the reason for the

refusal determination (e.g., in the case

of an adulterated test result, the name of

the adulterant).

The MRO may report negative results

using an electronic data file; however, the

report must contain, at a minimum, the

information specified above. The report also

must contain the MRO’s name, address, and

phone number, the name of any person other

than the MRO reporting the results, and the

date the electronic results report is released.

Copy 1 of the CCF must not be used to

to report drug test results.

The MRO and the Medical Examiner

Under the regulations, controlled

substances tests are not required as part of a

periodic physical exam under 49 CFR part 391,

subpart E. If the employer is an interstate

motor carrier and wants to do periodic testing,

the employer must not do so under FMCSA

authority, but under its own separate authority.

If the Medical Examiner is qualified, he

or she may be designated to also serve as the

MRO. Such an arrangement would simplify

the certification process.

MRO Selection

National associations, including

organizations affiliated with the American

Medical Association, offer certification

programs for MROs. When selecting a

qualified MRO, you should conduct the

following activities and retain documents

resulting from these activities:

1. Review qualifications, medical

licenses, memberships, and other

relevant training and experience to

ensure that minimum standards are met.

2. Have the MRO describe his/her

methods for remaining informed of

MRO policies and practices (e.g.,

attending conferences, additional

training, memberships, newsletters,

reviewing the regulations, etc.).

3. Assess ability to work with collection

sites, testing laboratories, SAPs, and

individual drivers; assess the proposed

method of notifying drivers of verified

positive test results and the method

used to afford drivers the opportunity to

discuss test results.


4. If not based locally, have the MRO

indicate how interviews with drivers

will be conducted and how the MRO

will coordinate with your Designated

Employer Representative (DER).

When the services of an MRO have

been retained, you should do the

following:

• Describe procedures for

disclosure of verified positive

test results and the

confidentiality that is required

for medical information not

specifically related to use of

controlled substances.

• Describe specimen collection

procedures, collection sites,

laboratories, and chain-of-

custody procedures, and provide

them to the MRO.

• Provide the MRO with copies of

49 CFR part 40 and part 382.

Section 4. SUBSTANCE ABUSEPROFESSIONAL (SAP)

DOT regulation 49 CFR part 40,

subpart O requires that any individual who has

a verified positive controlled substances test

result or has refused to be tested, must be

immediately removed from his/her safety-

sensitive position. In addition, he/she must be

advised of the resources available to evaluate

and resolve problems associated with

controlled substances use, including the names,

addresses, and telephone numbers of SAPs and

counseling and treatment programs. The driver

must also be evaluated by an SAP, who shall

determine what assistance the driver needs in

resolving problems associated with controlled

substances use.

An SAP can be (1) a licensed physician

(medical doctor or doctor of osteopathy), or a

licensed or certified psychologist, social

worker, or driver assistance professional, with

knowledge of and clinical experience in the

diagnosis and treatment of controlled

substances and alcohol-related disorders; or (2)

an addiction counselor certified by the National

Association of Alcoholism and Drug Abuse

Counselors Certification Commission

(NAADAC) or by the International

Certification Reciprocity Consortium/Alcohol

and Other Drug Abuse (ICRC).

The SAP must be knowledgeable about:

1. The diagnosis and treatment of alcohol

and controlled substances-related

disorders (and have clinical experience

in this area),

2. The safety-sensitive duties of a driver

and the employer’s interests, and


3. 49 CFR part 40, part 382, and the DOT

SAP guidelines.

The SAP must keep current on any

changes to these materials. These documents

are available from ODAPC (Department of

Transportation, 400 7th Street SW, Room

10403, Washington DC, 20590, (202) 366-

3784, or on the ODAPC Web site (http://

www.dot.gov/ost/dapc).

An SAP must maintain documentation

showing that he/she currently meet all

requirements of this section. Upon request, the

SAP must provide this documentation to DOT

agency representatives and to employers and C/

TPAs who are using or contemplating using

his/her services.

An SAP evaluation is required when a

driver has violated FMCSA drug and alcohol

regulations. As an employer, you are not

required to provide an SAP evaluation or any

subsequent recommended education or

treatment for a driver who has violated

FMCSA drug and alcohol regulations.

However, if you offer that driver an

opportunity to return to any FMCSA safety-

sensitive duty following a violation, you must,

before the driver again performs that duty,

ensure that the driver receives an evaluation by

an SAP meeting the requirements of §40.281

and that the driver successfully complies with

the SAP’s evaluation recommendations.

The SAP must make a face-to-face

clinical assessment and evaluation to determine

what assistance is needed by the employee to

resolve problems associated with alcohol and/

or drug use.

In all cases, the SAP must refer the

employee to an appropriate education and/or

treatment program. SAPs cannot refer an

employee requiring assistance to their own

private practices, or to a person or organization

from which they receive payment, or to a

person or organization in which they have a

financial interest.

However, the employer and driver may use

• A public agency (e.g., treatment

facility) operated by a state,

county, or municipality; or

• A person or organization under

contract to the employer to

provide alcohol or drug

treatment and/or education

services (e.g., the employer’s

contracted treatment provider); or

• A sole source of therapeutically

appropriate treatment under the

employee’s health insurance

program (e.g., the single

substance abuse in-patient

treatment program made

available by the employee’s

insurance coverage plan); or


• A sole source of therapeutically

appropriate treatment

reasonably available to the

employee (e.g., the only

treatment facility or education

program reasonably located

within the general commuting

area.)

The SAP must conduct a face-to-face

follow-up evaluation to determine if the

employee has actively participated in the

education and/or treatment program and has

demonstrated successful compliance with the

initial assessment and evaluation

recommendations, provide the DER with a

follow-up drug and/or alcohol testing plan for

the employee, and provide the employee and

employer with recommendations for

continuing education and/or treatment.

The SAP’s written reports are to be in a

specific format found in 49 CFR, section

40.311. Keep in mind that the return-to-duty

test cannot be conducted until the SAP makes

the follow up interview and you receive the fit

for duty letter.

The SAP must establish a written

follow-up testing plan for any driver who seeks

to resume the performance of safety-sensitive

functions. The SAP must not establish this

plan until after he/she determines that the

employee has successfully complied with the

recommendations for education and/or

treatment. A copy of this plan must be given

directly to the DER (see §40.311(d)(9)).

The SAP is the sole determiner of the

number and frequency of follow-up tests and

whether these tests will be for drugs, alcohol,

or both, unless otherwise directed by the

appropriate DOT agency regulation. For

example, if the employee had a positive drug

test, but your evaluation or the treatment

program professionals determined that the

employee had an alcohol problem as well, you

should require that the employee have follow-

up tests for both drugs and alcohol. However,

at a minimum, the employee is subject to six

unannounced follow-up tests in the first 12

months of safety-sensitive duty following the

employee’s return to safety-sensitive functions.

As an employer, you must maintain

your reports from SAPs for 5 years from the

date you received them.


Chapter 6 Appendix


Collection Site Checklist


Collection Site Checklist(To be Used by Specimen Collection Personnel)

April 2004

The following 23 steps summarize a “typical” urine collection conducted under the DOT-mandated procedures. Changes in the sequence of these procedures, errors, or omissions insome of the steps may result in the collection being unacceptable for testing at the laboratoryor the results being declared invalid upon review by the MRO.

1. The collector prepares the collection site to collect urine specimens. All collection suppliesmust be available, the area properly secured, water sources secured, and bluing (coloring)agent placed in all toilets as specified under 49 CFR 40.43.

2. The collector begins the collection without delay after the employee arrives at the collectionsite. Do not wait because the employee is not ready or states he or she is unable to urinate.In most cases, employees who state they cannot provide a specimen will, in fact, providesufficient quantity to complete the test process. (If an alcohol breath test is also scheduled,the alcohol test should be conducted first, if practicable.)

3. The collector requests the employee to present an acceptable form of identification. If theemployee cannot produce positive identification, the collector must contact the DER to verifythe identity of the employee. If the employee asks the collector to provide identification, thecollector must show the employee some form of identification. It must include thecollector’s name and the employer’s (or collection site) name. It does not have to be apicture identification or include the collector’s home address or telephone number.

4. The collector explains the basic collection procedures to the employee and reviews theinstructions on the back of CCF with the employee.

5. The collector ensures that the required information is provided at the top of the CCF (thelaboratory name and address and a pre-printed specimen ID number which matches the IDnumber on the specimen bottle seals). If the information is not already preprinted, thecollector enters the required information in Step 1 of the CCF (employer’s name, address,telephone, fax number; employee SSN or employee ID number (refusal by the employee toprovide a SSN is not a refusal to test, but requires the collector to annotate this in theremarks); reason for test; drug test to be performed; and collection site information.

Note: Part 40 requires a specific MRO’s name and address on the CCF rather than thename of the clinic or medical facility. An employer must provide to the collector thename and telephone number of the appropriate DER. This may be part of the CCFinformation that is pre-printed or may be under separate documentation. If there is noemployer or DER telephone number on the CCF, the collector should write in the DERname and telephone number on the CCF (if this information is available) so that either thecollector or the MRO may get in touch with a company representative when any problemsarise related to that specimen.


6. The collector asks the employee to remove any unnecessary outer clothing (e.g., coat, jacket,hat, etc.) and to leave any briefcase, purse, or other personal belongings he or she is carryingwith the outer clothing. The employee may retain his or her wallet. If the employee asks fora receipt for any belongings left with the collector, the collector must provide one.

Note: To safeguard employee’s belongings, procedures may be established where thebelongings are locked (at the collection site or in the bathroom) or other alternate methodsmay be developed. For example, if an employee comes to the collection site with his orher medications and desires that the collector secure the medication, the collector mayplace the medication in a locked cabinet, if available, or alternately, could seal themedication in an envelope, secure the envelope with tamper evident tape and retain theenvelope in a secure place.

Note: The collector may encourage the employee to also leave, with his or her otherbelongings, any other items that the employee will not need or may be prohibited fromcarrying into the restroom.

Note: The employee must not be asked to remove other articles of clothing, such as shirt,pants, dress, or under garments. Additionally, the employee must not be requested orrequired to remove all clothing in order to wear a hospital or examination gown. Anexception may be made, if the employee is also undergoing a physical examinationauthorized by a DOT operating administration’s rule, in conjunction with the drug test,which normally includes wearing a hospital gown. Work boots or cowboy boots do nothave to be removed unless the collector has a reason to suspect that the employee hassomething in them, which may be used to adulterate or substitute a specimen. When anemployee is asked to remove his or her hat or head covering, and refuses to do so based onreligious practice, the collector may exempt the employee from removal of the headcovering, unless the collector has an observable indicator that the employee is attemptingto hide inside the head covering adulterants or other substances which may be used in anattempt to adulterate or substitute a specimen.

7. The collector directs the employee to empty his or her pockets and display the items to ensurethat no items are present that could be used to adulterate the specimen. If nothing is therethat can be used to adulterate a specimen, the employee places the items back into thepockets and the collection procedure continues. If the employee refuses to empty his or herpockets, this is considered a refusal to cooperate in the testing process.

Note: If an item is found that appears to be inadvertently brought to the collection site,secure the item and continue with the normal collection procedure. For example, a bottleof eye drops may have been brought inadvertently and would have to be secured by thecollector and the collection process would continue.


8. The collector instructs the employee to wash and dry his or her hands, under the collector’sobservation, and informs the employee not to wash his or her hands again until after theemployee provides the specimen to the collector. The employee must not be allowed anyfurther access to water or other material that could be used to put into the specimen.

Note: The employee may use soap and, if practicable, it should be a liquid or cream. Asolid bar or soap gives the employee the chance to conceal soap shaving under his or herfingernails and subsequently use them to attempt to adulterate the specimen.

9. The collector either gives the employee or allows the employee to select the collection kit orcollection container (if it is separate from the kit) from the available supply. Either thecollector or the employee, with both present, then unwraps or breaks the seal of the kit orcollection container.

Note: If the collection kit is sealed, the collection container must still be sealed orindividually wrapped in a plastic bag or shrink wrapping; or must have a peelable, sealedlid or other easily visible tamper-evident system. Do not unwrap or break the seal on anyspecimen bottle at this time. Only unwrap the collection container.

Note: Ensure the employee takes only the collection container into the room used forurination. The sealed specimen bottles remain with the collector.

10. The collector directs the employee to go into the room used for urination, provide a specimenof at least 45 mL, not to flush the toilet, and return with the specimen as soon as possibleafter completing the void. The collector may set a reasonable time limit for the employee tobe inside the bathroom and this time frame should be explained to the employee.

Note: The collector should also tell the employee that the temperature of the specimen is acritical factor and that the employee should bring the specimen to the collector as soon aspossible after urination. The collector should inform the employee that if it is longer than4 minutes from the time the employee urinates into the container and the collector takesthe specimen temperature, the potential exists that the specimen may be out of range andan observed collection may be required.

Note: The collector should pay close attention to the employee during the entire collectionprocess to note any conduct that clearly indicates an attempt to substitute or adulterate aspecimen.


11. After the employee gives the specimen to the collector, the collector must check thetemperature of the specimen, check the specimen volume, and inspect the specimen foradulteration or substitution. The collector should check the temperature of the specimen assoon as the employee hands over the specimen, but no later than four minutes after theemployee comes of out of the restroom. The acceptable temperature range is 32°-38°C/90°-100°F. Temperature is determined by reading the temperature strip originally affixed to orplaced on the outside of the collection container. If the temperature is within the acceptablerange, the “Yes” box is marked in Step 2 on the CCF and the collector proceeds with thecollection procedure. The collector then checks to make sure that the specimen contains asufficient amount of urine (a minimum of 45 mL for all DOT collections). If the volume issufficient, the collector checks the box on the CCF (Step 2) indicating that this was a splitspecimen collection. (This may be done at the same time that the collector checks thetemperature box.) The collector must inspect the specimen for unusual color, presence offoreign objects or material, or other signs of tampering or adulteration (e.g., the specimen isblue, exhibits excessive foaming when shaken, or has smell of bleach).

12. After the employee hands the collection container to the collector, the collector unwraps oropens the specimen bottles. (The employee may be permitted to do this, however, therecommended “best practice” is for the collector to perform this procedure.) Bottles may beshrink-wrapped or secured by other easily discernable tamper-evident methodology and maybe wrapped separately or together.

Note: Both the collector and employee will maintain visual contact with the specimen tothe greatest extent possible until the labels/seals are placed over the specimen bottle caps/lids. If practical, the collector may permit the employee to wash his or her hands rightafter the employee gives the collection container to the collector (and the collectorchecked the temperature), provided the employee and the collector can still maintainvisual control of the specimen collection container.

13. The collector, not the employee, then pours at least 30 mL of urine from the collectioncontainer into a specimen bottle and places the lid/cap on the bottle. This will be theprimary specimen or “A” bottle. The collector, not the employee, then pours at least 15 mLof urine into a second bottle and places the lid/cap on the bottle. This will be the “B” bottleused for the split specimen. (The collector may first pour the requisite amount of urine intoeach bottle and then secure the lids/caps on each bottle.)

Note: The collector should not fill the primary or split specimen bottle up to the capbecause a completely full bottle is more likely to leak in transit. Additionally, when a splitspecimen bottle is full and subsequently frozen, it may cause the bottle material to crackand then leak during transit as the specimen thaws.


14. The collector, not the employee, must then remove the tamper-evident seals from the CCFand place them on each bottle, ensuring that the seal labeled “A” is placed on the primarybottle with at least 30 mL of urine and that the seal labeled “B” is placed on the bottle of 15mL of urine. The seal must be centered over the lid/cap and down the sides of the bottle toensure that the lid/cap cannot be removed without destroying the seal. The collector, not theemployee writes the date on the seals. The employee is then requested to initial the seals.The employee must be present to observe the sealing of the specimen bottles. If theemployee fails or refuses to initial the seals, the collector must note this in the “Remarks”line of the CCF and complete the collection process; this is not considered a refusal to test.

Note: The collector must not ask the employee to initial the labels/seals while they arestill attached to the CCF; they must be initialed after they are placed on the bottles. Thecollector should also inform the employee to use care during the initialing process to avoiddamaging the labels/seals.

Note: Occasionally, the tamper-evident label/seal provided with the CCF will not properlyadhere to the specimen bottle because of environmental conditions (e.g., moisture,temperature, specimen bottle material) or may be damaged or broken during the collectionprocess. When this occurs, the collector should use the following corrective procedures:

(a)If the seal is broken while being removed from the chain of custody form orduringthe application of the first seal on the primary bottle, the collector should transfer theinformation to a new CCF and use the seals from the second form.

(b) If one seal is already in place on a bottle and the second seal is broken whilebeing removed from the CCF or is broken during application on the second bottle orwhile the employee is initialing either seal, the collector should initiate a new CCFand provide an appropriate comment on the “Remarks” line in Step 5. The sealsfrom the second CCF should be placed perpendicular to the original seal to avoidobscuring information on the original seals and must be initialed by the employee(both sets of employee initials should match). The collector should draw a linethrough the Specimen ID number and bar code (if present) on the original seals toensure that the laboratory does not use that number for reporting the results. Thecollector should not pour the specimen into new bottles.

(c) In both cases, the collector should ensure that all copies of the original (first)chain of custody form are destroyed or disposed of properly (e.g., shredded, torn intopieces).

(d) If the collector inadvertently reverses the seals (i.e., places the “A” bottle seal onthe split bottle and vise-versa) and the collector subsequently notices this, the

(continued)


collector should note this in the “Remarks” line and continue the collection process.Laboratories have procedures that permit them to “re-designate” the bottles.

Note: There is no corrective procedure available if the seal is broken after the employeeleaves the collection site.

Note: Since the specimen bottle is now sealed with tamper-evident tape and does nothave to be under the employee’s direct observation, the employee is allowed to wash hisor her hands if he or she desires to do so.

15. The collector directs the employee to read, sign, and date the certification statement andprovide date of birth, printed name, and day and evening contact telephone numbers in Step 5on Copy 2 of the CCF.

Note: If the employee refuses to sign the form or provide date of birth, printed name, ortelephone numbers, the collector must make a notation on the “Remarks” line to thateffect and complete the collection. If the employee refuses to fill out any information,the collector must, as a minimum, print the employee’s name in the appropriate place.This does not constitute a refusal to test.

16. The collector completes the collector’s portion of the chain of custody on the CCF (Copy 1,Step 4) by printing his or her name (the name may be pre-printed), recording the date andtime of the collection, signing where indicated, and entering the specific name of the deliveryor courier service transferring the specimens to the laboratory.

17. The collector then ensures that all copies of the CCF are legible and complete. The collectorremoves Copy 5 from the CCF and gives it to the employee.

Note: At this time, the collector can suggest that the employee list any prescription andover-the-counter medications he or she may be taking on the employee’s copy (Copy 5)of the CCF, but not on any other copy. This information may help the employeeremember what medication he or she may have taken if a positive result is reported bythe laboratory to the MRO.

18. The collector places the specimen bottles and Copy 1 of the CCF inside the appropriatepouches of the leak-resistant plastic bag, and seals both pouches. If the employee has not hadthe opportunity to wash his or her hands, they may do so now. The collector then informs theemployee that he or she may leave the collection site.


19. Any urine specimen left over in the collection container after both specimen bottles havebeen appropriately filled and sealed should be discarded at this time. Excess urine may beused to conduct clinical tests (e.g., protein, glucose) if the collection was conducted inconjunction with a physical examination required by a DOT operating administration’sregulation. No further testing (e.g. adulteration testing, DNA, additional drugs) may beconducted on this excess urine and the employee has no right to demand that the excess urinebe turned over to the employee.

20. The collector places the sealed plastic bag in an appropriate shipping container (e.g., box,express courier mailer) designed to minimize the possibility of damage during shipment.More than one sealed plastic bag can be placed into a single shipping container if there aremultiple collections. The collector seals the shipping container as appropriate. If alaboratory courier hand-delivers the specimens from the collection site to the laboratory, thecollector prepares the shipment as directed by the courier service. In this case, the plastic bagmay not need to be placed into a shipping container, but still need to be transported by thecourier in a manner that protects the bottles from damage.

Note: If the laboratory courier does not hand-deliver the specimens to the laboratory, butsubsequently places the specimens into a commercial delivery system, the specimensmust be placed into a shipping container to minimize damage in transit.

21. The collector then sends Copy 2 of the CCF to the MRO and Copy 4 to the DER (or serviceagent if authorized by the employer). The collector must fax or otherwise transmit thesecopies to the MRO and DER within 24 hours or during the next business day and keep Copy3 for at least 30 days, unless otherwise specified by applicable DOT operatingadministration’s regulations.

Note: The MRO copy (Copy 2) may be faxed to the MRO’s secure fax machine, it maybe scanned and the image sent to the MRO’s secure computer, or it may be mailed orsent by courier to the MRO. (It is recommended that the MRO copy be faxed, since it iscritical for the MRO to have this document to expeditiously conduct the verificationprocess.) In the case where the MRO copy (Copy 2) is faxed or the scanned image issent securely to the MRO, the collector or the collection site should maintain the MROcopy together with the collector’s copy for 30 days. Retention is in case the MRO’s copyis lost in the mail or the faxed or scanned copy is not legible and another copy is requiredby the MRO. The transmission process must be coordinated between the collection siteand the MRO to ensure that transmission procedures meet the MRO’s requirements (e.g.,MROs must provide secure fax numbers to collection sites, some MROs may want hardcopies mailed; others may want only faxed copies).


22. The collector or collection site must ensure that each shipment collected is shipped to alaboratory as quickly as possible, but in any case within 24 hours or during the next businessday.

23. If the specimen will not be shipped immediately, the collector is responsible for ensuring itsintegrity and security. Specimens in plastic bags, which have not been placed into shippingcontainers or which are awaiting a laboratory courier, must be kept in a secure location. Thespecimens need not be under lock and key; however, procedures must exist that would ensurespecimens cannot be subject to tampering.

Note: After specimens are placed into shipping containers that are subsequently sealed,the shipping containers may be placed with other containers or packages that thecollection site has waiting to be picked up by the courier. It is expected that collectionsites will use reasonable security to ensure that all of their packages are relatively secureand not subject to damage, theft or other actions that would potentially raise questionsrelated to the integrity of the specimens.

Note: Couriers, postal employees, and other personnel involved in the transportation ofthe sealed shipping container are not required to make, and should not attempt to make,additional chain of custody entries on the custody and control form.

The above 23 steps represent a “typical” collection and are the basic requirements for a DOTmandated urine specimen collection. They are presented in chronological order to representthe proper order for the steps in obtaining, documenting, and securing a urine specimen.

To obtain more specific information regarding the procedures of collecting a specimen,

visit the Office of Drug and Alcohol Policy and Compliance website

at http://www.dot.gov/ost/dapc/.


Driver Specimen Collection Checklist


Driver Specimen Collection Checklist(For Drivers Required to Provide Urine Specimens for Drug Testing)

1. Report to the specimen collection site as soon as possible after notification to report. Refusal toreport for collection or refusal to cooperate with the collection process will result in a refusal to testessentially a positive test.

2. The employee must provide appropriate identification to the collector upon arrival at the collectionsite. Acceptable forms of identification include:

(a) A photo identification (e.g., drivers license, employee badge issued by the employer, or anyother picture identification issued by a Federal, state, or local government agency), or

(b) Identification by an employer or employer representative, or

(c) Any other identification allowed under an operating administrator’s rules.

3. Check your outer garments with the collection site personnel for safekeeping. You have the right toretain your wallet and to ask for a receipt for your belongings. Also, at the direction of the specimencollector you must empty your pockets and display items to ensure that no items are present thatcould be used to adulterate the specimen.

4. Wash and dry your hands.

5. Observe the specimen collector unwrap a specimen container.

6. Proceed to the room used for urination and provide a specimen in the collection container. At least45 mL of urine is required for analysis. Do not tamper with the specimen or make substitutions.The specimen will be visually inspected for unusual color and sediment.

7. Give the specimen to the specimen collector and observe while the collector checks the specimen fortemperature, volume, and visually inspects the specimen for signs of tampering or substitution. Thespecimen must be of sufficient volume (45 mL) and within acceptable temperature range. If thespecimen fails to meet sufficient volume or falls outside the acceptable temperature range, you willbe required to undergo a second collection. If for temperature, the second collection will be bydirect observation.

8. Observe the specimen collector pour the required amount of urine into specimen bottles, place thetamper-evident seals on specimen bottles and label them accordingly. Initial the labels verifying thatthe specimen is yours.

9. You may wish to indicate on the back of your copy of the custody and control form any medicationsyou are currently using. This list may serve as a memory jogger in the event a Medical ReviewOfficer (MRO) calls you to discuss the results of your test.

10. The results of the laboratory analysis will be forwarded to your employer’s Medical Review Office(MRO). If the results are negative (no controlled substances detected), the MRO will notify youremployer. If the laboratory confirms a positive test result (controlled substances detected), the MROwill contact you at the telephone number you provided to give you the opportunity to discuss the testresults and submit information demonstrating authorized used of the controlled substances inquestion.


Aliquot

Cancelled or InvalidControlled Substances Test

Chain of Custody

Collection Container

Collection Site

Collection Site Person

Controlled Substances

A portion of a specimen used for testing

A controlled substances test that has been declared invalid by aMedical Review Officer. A cancelled test is neither a positivenor a negative test. A sample that has been rejected for testingby a laboratory is treated the same as a cancelled test.

Procedures to account for the integrity of each urine specimenby tracking its handling and storage from point of collection tofinal disposition. With respect to controlled substances testing,these procedures require that a Federal Drug Testing Custodyand Control Form, consisting of five pages, be used from timeof collection to receipt by the laboratory and that upon receiptby the laboratory an appropriate chain of custody form(s)account(s) for the sample or sample aliquots within thelaboratory.

A container into which the employee urinates to provide theurine sample used for a controlled substances test.

A place designated by the employer where individuals presentthemselves for the purpose of providing a specimen of theirurine to be analyzed for the presence of controlled substances.

A person who instructs and assists individuals at a collectionsite and who receives and makes a screening examination of theurine specimenprovided by those individuals.

Marijuana, cocaine, opiates, amphetamines, or phencyclidine.



Controlled SubstanceConfirmation Test

Controlled Substances Metabolite

Controlled Substances Screening Test

Creatinine

Drug

Medical Review Officer (MRO)

Refusal to Submit to a ControlledSubstances Test

A second analytical procedure to identify the presence of aspecific controlled substance or metabolite which isindependent of the screening test and which uses a differenttechnique and chemical principle from that of the screening testin order to ensure reliability and accuracy.

The specific substance produced when the human bodymetabolizes a given prohibited controlled substance as it passesthrough the body and is excreted in urine.

An immunoassay screen to eliminate “negative” urine specimensfrom further consideration.

A chemical normally produced when the human body metabolizescreatine as it passes through the body and is excreted in urine.Creatinine is an anhydride of creatine.

(see Controlled Substances)

A licensed physician (Doctor of Medicine or Osteopathy)responsible for receiving laboratory results generated by anemployer’s controlled substances testing program, who hasknowledge of substance abuse disorders and has appropriatemedical training to interpret and evaluate an individual’sconfirmed positive test results together with his or her medicalhistory and any other relevant biomedical information.

The driver fails to appear for any test within a reasonable time,after being directed to do so by the employer; fails to remain atthe testing site until the testing process is complete; fails to providea urine specimen for any drug test required; in the case of directobservation or monitored collection driver fails to permit theobservation or monitoring; fails to provide sufficient amount ofurine when directed; fails or declines to take a second test theemployer or collector has directed the driver to take; fails toundergo a medical examination or evaluation, as directed by theMRO as part of the verification process or as directed by the DER;fails to cooperate with any part of the testing process; and finally,or is reported by the MRO as having a verified adulterated orsubstituted test result.


Shipping Container

Specimen Bottle orSpecimen Containment System

Substance Abuse Professional(SAP)

A container capable of being secured with a tamper evident sealthat is used for transfer of one or more urine specimen bottle(s)and associated documentation from the collection site to thelaboratory.

The bottle that, after being labeled and sealed, is used to transmita urine sample to the laboratory.

A licensed physician (Doctor of Medicine or Osteopathy), or alicensed or certified psychologist, social worker, or employeeassistance professional, or a drug and alcohol counselor (certifiedby the National Association of Alcoholism and Drug AbuseCounselors Certification Commission (NAADAC); or by theInternational Certification Reciprocity Consortium/Alcohol andOther Drug Abuse (ICRC); or by the National Board of CertifiedCounselors Inc. and Affiliates/Masters Addictions Counselor(NBBC).


Sample Custody and Control Form


SPECIMEN ID NO.

PE

EL ____________________

Date (Mo. Day Yr.)

____________________Donor’s Initials

A SPECIMEN BOTTLESEAL

1234567

1234567

PLACEOVERCAP

1234567

1234567

1234567

PR

ES

S H

AR

D - Y

OU

AR

E M

AK

ING

MU

LTIP

LE

CO

PIE

S

REMARKS

B. MRO Name, Address, Phone and Fax No.

FEDERAL DRUG TESTING CUSTODY AND CONTROL FORM

STEP 1: COMPLETED BY COLLECTOR OR EMPLOYER REPRESENTATIVE

STEP 2: COMPLETED BY COLLECTOR

Read specimen temperature within 4 minutes. Is temperaturebetween 90o and 100o F? Yes No, Enter Remark

Specimen Collection: Split Single None Provided (Enter Remark)

STEP 5a: PRIMARY SPECIMEN TEST RESULTS - COMPLETED BY PRIMARY LABORATORY

NEGATIVE

C. Donor SSN or Employee I.D. No.

A. Employer Name, Address, I.D. No.

AMPM

STEP 3: Collector affixes bottle seal(s) to bottle(s). Collector dates seal(s). Donor initials seal(s). Donor completes STEP 5 on Copy 2 (MRO Copy)STEP 4: CHAIN OF CUSTODY - INITIATED BY COLLECTOR AND COMPLETED BY LABORATORY

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F. Collection Site Address:

MARIJUANA METABOLITE CODEINE AMPHETAMINE COCAINE METABOLITE MORPHINE METHAMPHETAMINE

PCP 6-ACETYLMORPHINE

REMARKS ______________________________________________________________________________________________________________________________________

TEST LAB (if different from above)I certify that the specimen identified on this form was examined upon receipt, handled using chain of custody procedures, analyzed, and reported in accordance with applicable Federal requirements.

Date (Mo./Day/Yr.)(PRINT) Certifying Scientist’s Name (First, MI, Last)Signature of Certifying Scientist

E. Drug Tests to be Performed: THC, COC, PCP, OPI, AMP THC & COC Only Other (specify)

D. Reason for Test: Pre-employment Random Reasonable Suspicion/Cause Post Accident

Return to Duty Follow-up Other (specify)

SPECIMEN ID NO LAB ACCESSION NO. .

Collector Phone No.

Time of Collection

Date (Mo./Day/Yr.) Name of Delivery Service Transferring Specimen to Lab

SPECIMEN BOTTLE(S) RELEASED TO:

XPrimary SpecimenBottle Seal Intact

Yes

No, Enter Remark Below

RECEIVED AT LAB: SPECIMEN BOTTLE(S) RELEASED TO:

ADULTERATED SUBSTITUTED

INVALID RESULT

Date (Mo./Day/Yr.)

POSITIVE for:

STEP 5b: SPLIT SPECIMEN TEST RESULTS - (IF TESTED) COMPLETED BY SECONDARY LABORATORY

RECONFIRMED FAILED TO RECONFIRM - REASON

XSignature of Collector

(PRINT) Collector’s Name (First, MI, Last)

Laboratory Address

Laboratory Name

(PRINT) Accessioner’s Name (First, MI, Last)

X

Date (Mo./Day/Yr.)(PRINT) Certifying Scientist’s Name (First, MI, Last)Signature of Certifying ScientistX

I certify that the split specimen identified on this form was examined upon receipt, handled using chain of custody procedures, analyzed,and reported in accordance with applicable Federal requirements.

Signature of Accessioner

REJECTED FOR TESTING

Collector Fax No.

Observed (Enter Remark)

DILUTE

I certify that the specimen given to me by the donor identified in the certification section on Copy 2 of this form was collected, labeled, sealed and released to the Delivery Service noted inaccordance with applicable Federal requirements.

PE

EL

SPECIMEN ID NO.

____________________Date (Mo. Day Yr.)

____________________Donor’s Initials

BPLACEOVERCAP

SPECIMEN BOTTLESEAL(SPLIT)

COPY 1 - LABORATORY

0000-0

000-0

225

1A

Drug Form Part 1Face Inks: 000 BLK / 000 REDDate: 05/09/00

Not To Use For ColormatchFollow PMS Guide For Colors


STEP 6: COMPLETED BY MEDICAL REVIEW OFFICER - PRIMARY SPECIMEN

REMARKS ______________________________________________________________________________________________________________________________________

In accordance with applicable Federal requirements, my determination/verification is:

STEP 7: COMPLETED BY MEDICAL REVIEW OFFICER - SPLIT SPECIMEN


Date (Mo./Day/Yr.)(PRINT) Medical Review Officer’s Name (First, MI, Last)Signature of Medical Review OfficerX

In accordance with applicable Federal requirements, my determination/verification for the split specimen (if tested) is:


I certify that I provided my urine specimen to the collector; that I have not adulterated it in any manner; each specimen bottle used was sealed with a tamper-evident seal in my presence; and that the information provided on this form and on the label affixed to each specimen bottle is correct.

STEP 5: COMPLETED BY DONOR

Should the results of the laboratory tests for the specimen identified by this form be confirmed positive, the Medical Review Officer will contact you to askabout prescriptions and over-the-counter medications you may have taken. Therefore, you may want to make a list of those medications for your own records.THIS LIST IS NOT NECESSARY. If you choose to make a list, do so either on a separate piece of paper or on the back of your copy (Copy 5). —DO NOTPROVIDE THIS INFORMATION ON THE BACK OF ANY OTHER COPY OF THE FORM. TAKE COPY 5 WITH YOU.

Daytime Phone No. ________________________ Evening Phone No. ____________________________ Date of Birth ___________________Mo. Day Yr.

( ) ( )Signature of Donor (PRINT) Donor’s Name (First, MI, Last) Date (Mo. / Day / Yr.)

X

B. MRO Name, Address, Phone and Fax No.STEP 1: COMPLETED BY COLLECTOR OR EMPLOYER REPRESENTATIVE




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F. Collection Site Address:E. Drug Tests to be Performed: THC, COC, PCP, OPI, AMP THC & COC Only Other (specify)



.

Collector Phone No.

Collector Fax No.

REMARKS



AMPM


Time of Collection




Yes



Date (Mo./Day/Yr.)







ADULTERATED SUBSTITUTED NEGATIVE POSITIVE TEST CANCELLED REFUSAL TO TEST BECAUSE:

DILUTE

1234567



COPY 2 - MEDICAL REVIEW OFFICER COPY

0000-0

000-0

225

2A





REMARKS ______________________________________________________________________________________________________________________________________












X





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.

Collector Phone No.

Collector Fax No.

REMARKS



AMPM


Time of Collection




Yes



Date (Mo./Day/Yr.)








DILUTE

1234567



COPY 3- COLLECTOR COPY

00

00

-00

00

-02

25

3A





REMARKS ______________________________________________________________________________________________________________________________________












X





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.

Collector Phone No.

Collector Fax No.

REMARKS



AMPM


Time of Collection




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Alcohol Testing Procedures7 - 1

Chapter 7.

ALCOHOL TESTINGPROCEDURES

Section 1. OBTAININGPROGRAM SERVICES

When establishing an effective alcohol

testing program, you will need to perform

certain specialized services. You will need

someone to

• Operate the testing equipment

• Report the results

• Assess drivers who test positive(unlike the controlled substancestesting requirements, the alcohol rule

does not require the use of an MRO).

You will need to have access to equipment to

perform the tests.

If you do not have qualified individuals on

staff to perform these functions, or do not have

the equipment available, you will need to

identify qualified contractors to provide each of

these services.

Alcohol Testing Procedures 7 - 2

Alcohol Testing

The FMCSA regulation (49 CFR

part 382) requires that you conduct alcohol

testing on drivers performing safety-sensitive

functions consistent with the provisions set

forth in 49 CFR part 40. The initial sample

must be collected through the use of a saliva

device, a nonevidential breath test device

[alcohol screening device (ASD)], or an

evidential breath testing device (EBT) that is

approved by the National Highway Traffic

Safety Administration (NHTSA). All

screening tests must be performed by a trained

breath alcohol technician (BAT). Saliva and

nonevidential breath testing must only be

performed by a trained screening test

technician (STT).

The confirmation sample must be

conducted within 30 minutes of the completion

of the screening test. The confirmation test

must use an EBT that is approved by NHTSA.

The test must be performed by a trained BAT.

The FMCSA regulation prohibits you

from allowing a driver with an alcohol

concentration of 0.04 or greater to perform any

safety-sensitive functions until he/she has been

evaluated by an SAP and has passed a return-

to-duty test. A driver with an alcohol

concentration of 0.02 or greater, but less than

0.04, must be removed from duty for 24 hours.

Evidential Breath Testing Device (§40.229).

An EBT is a breath testing device that

is capable of measuring a driver’s blood

alcohol concentration. It must be able to

distinguish alcohol from acetone at the 0.02

alcohol concentration level. An EBT must be

capable of conducting an air blank and

performing an external calibration check. For

confirmation tests (defined later), you must use

EBTs that can

• Produce a printed result in triplicate

or three consecutive identical copies

of each breath test

• Print a unique and sequential number

of each completed test, with the

BAT and the driver being able to

read the number before each test,

and print the number on each copy

of the result

• Print, on each copy of the result, the

manufacturer’s name for the device,

the device’s serial number, and the

time of the test


The EBT must have a manufacturer-

developed quality assurance plan approved by

NHTSA. The plan must include

• A designated method or methods to

be used to perform external

calibration checks of the device

• Specified minimum intervals for

performing external calibration

checks of the device that account for

different frequencies of use,

environmental conditions (e.g.,

temperature, altitude, humidity), and

contexts of operation (e.g., stationary

or mobile use)

• Specified tolerances on an external

calibration check within which the

EBT is regarded to be in proper

calibration

• Specified inspection, maintenance,

and calibration requirements and

intervals for the device.

NHTSA will occasionally print updates

to its Conforming Products List (CPL) of EBTs

in the Federal Register.

The regulation specifically requires that

you comply with the NHTSA-approved quality

assurance plan by ensuring that the external

calibration checks of each EBT are performed

as described in the manufacturer’s plan and

that the EBT will be taken out of service if any

external calibration check results in a reading

outside the tolerances for the EBT. The EBT

cannot be returned to service until it has been

recalibrated and has had an acceptable external

calibration check. You must also ensure that

the inspection, maintenance, and calibration of

each EBT are performed by the manufacturer

or a maintenance representative certified by the

manufacturer or an appropriate State agency.

You must also maintain records of the external

calibration checks of the EBT and store the

EBT in a secure place when not being used.

Provisions should be made for a back-up

EBT for times when the primary EBT is

unavailable, out of calibration, or being

serviced. This could include acquiring a

second instrument, arranging for a “loaner,” or

arranging to use another employer’s EBT when

necessary.

Breath Alcohol Technician (§40.213)

The alcohol tests must be performed by

a BAT who is “trained to proficiency” in the

operation of the EBT that he/she is using and in

the alcohol testing procedures specified in the

regulations. The BAT must successfully

complete a DOT-approved course of

instruction that provides training in the

principles of EBT methodology, operation, and


calibration checks. Information on these

courses of instruction may be obtained from

the Government Printing Office (GPO). See

Chapter 4, “Education and Training.” In

addition, the BAT must complete training on

the fundamentals of breath analysis for alcohol

content, the procedures required for obtaining a

breath sample, and interpreting and recording

EBT results.

The BAT must demonstrate competence

in the operation of the specific EBT he/she will

use. The BAT will be required to receive

additional training as new or additional devices

or technology are introduced.

You must identify the individual(s) who

will serve as your BAT(s). If one BAT is

selected as the primary EBT operator,

provisions should be made for back-up

services. You are required to document the

training and proficiency testing of the BAT

who tests your employees.

The supervisor of a driver to be tested

for alcohol misuse, if at all possible, should not

serve as the BAT for that driver’s test.

However, in no circumstances will the

supervisor who made the reasonable cause

determination serve as the BAT for that

driver’s test.

Alcohol Testing Site (§40.221)

Alcohol tests should be conducted at a

site that provides privacy to the driver being

tested. The testing site must be secured, with

no unauthorized access at any time the ASD

and/or EBT is unsecured or when testing is

occurring. The BAT must conduct only one

test at a time and must not leave the testing site

while the preparations for testing or the test

itself are in progress.

In unusual circumstances (e.g., an

accident), an alcohol test can be conducted at a

place other than an alcohol testing site. In such

cases, the STT or BAT shall conduct the test in

a manner that provides the driver with privacy

to the greatest extent practicable.

You may purchase and operate the ASD

and/or EBT, or these services may be procured

from a for-profit or nonprofit entity. If

possible, the alcohol test should be performed

at the same location used for urine collection

for controlled substances tests to minimize the

time and logistical problems associated with

the collection process, particularly when a

driver will be taking both an alcohol and a

controlled substances test (e.g.,

preemployment, postaccident). Other possible

locations include other employer facilities and

facilities available at other transportation

employers that fall under the DOT regulations


(e.g., transit agencies, school bus operations, or

other agencies that have drivers holding

CDLs).

In an attempt to reduce cost demands,

you may wish to join forces with other

transportation employers in your region to

purchase ASDs, EBTs, and STT and BAT

services as a group.

In anticipation of the need for alcohol

testing services, the following procedures

should be followed:

1. Develop specifications for ASD,

EBT, STT, and BAT services

consistent with 49 CFR part 40.

Estimate the number and types of

tests to be performed and their

approximate frequency throughout

the year. Specify the hours of

required availability and the need

for back-up equipment and trained

personnel.

2. Confer with other employers that

must purchase alcohol testing

services to satisfy DOT regulations

to identify potential consortia/

third- party administrators (private

and public) for testing services.

3. Investigate the current and

potential availability of ASDs,

EBTs, and STT and BAT services

in the local community and

evaluate the level of interest in the

provision of testing services.

4. As soon as possible, select an

alcohol testing site. If possible,

the alcohol testing site should be

the same as the drug sample

collection site. Law enforcement

agencies are not recommended as

collection sites in order to avoid

any perception of testing as a

“police” action.

5. Develop a contract that specifies

the obligation of the collection site

to maintain equipment quality

standards, and STT and BAT

proficiency training consistent

with 49 CFR part 40 throughout

the duration of the contract.

Require that sufficient records of

the quality control measures,

equipment calibration, and

proficiency training are provided

for documentation of the

employer’s program.


Alcohol Testing Process

The following procedures must be used

to conduct the test.

Preparation (See 49 CFR part 40 Subpart L).

Upon arrival at the alcohol testing site,

the driver must provide positive identification

to the STT or BAT. The identification can be

in the form of a company photo identification

card, a commercial driver’s license (CDL), or

identification by an employer representative.

These alcohol requirements only apply to

drivers who are subject to CDL requirements.

A color photograph, except in rare

circumstances in the State of Alaska, is

required to be on a CDL. The FMCSA fully

expects most employers to require the driver to

present the CDL document to the STT or BAT.

After the testing procedures are

explained to the driver, the driver and the STT

or BAT must complete, date, and sign the

alcohol testing form. The driver and the STT

or BAT sign the form indicating that the driver

is present and providing a saliva or breath

sample. You may not modify or revise this

form, unless the form is directly generated by

an EBT (i.e., the space for affixing a separate

printed result is not needed on an EBT-

generated form since the form itself is the

result). The form must provide carbonless

triplicate copies. Electronic signatures are

prohibited. Copy 1 must be transmitted to the

employer. Copy 2 must be provided to the

driver. Copy 3 must be retained by the BAT.

Except for a form generated by an EBT, the

form shall be 8½ by 11 inches (21.6 by 28

centimeters) in size. The form may be found in

the appendix at the end of this chapter.

EBT Screening Test (§40.243).

The BAT will inform the driver of the

need to conduct a screening test. The BAT

must open an individually sealed, disposable

mouthpiece in view of the driver and attach it

to the EBT. For screening tests, air blanks are

not required.

The BAT will instruct the driver to blow

forcefully into the mouthpiece for at least 6

seconds or until an adequate amount of breath

has been obtained. Following the screening

test, the BAT must show the driver the result

displayed on the EBT or the printed result.

If the result of the screening test is an

alcohol concentration of less than 0.02, no

further testing is required and the test will be

reported to you as a negative test. The driver

may then return to his/ her safety-sensitive

function.


ASD screening test (§40.245)

The steps for preparation for testing are

the same as provided for EBT alcohol testing.

If a saliva test is being conducted, the STT will

explain the testing procedure to the driver. The

STT will check the expiration date of the saliva

testing device, showing the date to the driver,

and must not use a device at any time after the

expiration date. The STT will open an

individually sealed package containing the

device in the presence of the driver and then

will offer the driver the opportunity to use the

swab. If the driver chooses to use the swab, the

STT will instruct the employee to insert the

absorbent end of the swab into his/her mouth,

moving it actively throughout the mouth for a

sufficient time to ensure that it is completely

saturated, as indicated in the manufacturer’s

instructions for the device.

If the employee chooses not to use the

swab, or in all cases in which a new test is

necessary because the device did not activate,

the STT will insert the absorbent end of the

swab into the driver’s mouth, moving it

actively throughout the mouth for a sufficient

time to ensure that it is completely saturated,

as indicated in the manufacturer’s instructions

for the device.

The STT will wear a surgical glove

while doing so. The STT will place the device

on a flat surface or otherwise in a position in

which the swab can be firmly placed into the

opening provided in the device for this

purpose. The STT will insert the swab into this

opening and maintain firm pressure on the

device until the device indicates that it is

activated.

If the swab breaks, or the STT drops the

swab on the floor or another surface, or the

swab is removed or falls from the device

before the device is activated, the STT will

discard the device and swab and conduct a

new test using a new device. The new device

will be one that has been under the control of

the employer or STT prior to the test. The STT

will note in the remarks section of the form the

reason for the new test.


In this case, the STT shall offer the

employee the choice of using the swab himself

or herself or having the STT use the swab. If

the test continues to be unsuccessful, the

collection shall be terminated and an

explanation provided in the remarks section of

the form. A new test shall then be conducted,

using an EBT for both the screening and

confirmation tests.

If the procedures are followed

successfully but the device is not activated, the

STT will discard the device and swab, and

conduct a new test. In this case, the STT will

place the swab into the driver’s mouth to

collect saliva for the new test.

The STT will read the result displayed

on the device 2 minutes after inserting the

swab into the device and will show the device

and its reading to the driver and enter the result

on the form.

Devices, swabs, gloves, and other

materials used in saliva testing shall not be

reused and shall be disposed of in a sanitary

manner following their use, consistent with

applicable requirements.

Confirmation Test (see 49 CFR part 40 subpart

M).

If the result of the screening test is an

alcohol concentration of 0.02 or greater, a

confirmation test must be performed.

The confirmation test must be conducted

at least 15 minutes, but not more than 30

minutes, after the completion of the initial test.

This delay prevents any accumulation of

alcohol in the mouth from leading to an

artificially high reading.

Employers that use nonevidential ASDs

are responsible for ensuring that an EBT is

available for use within 30 minutes of

obtaining a test result on the ASD. If an

employer cannot ensure that an EBT will be

available within the 30-minute time limit, the

employer must not use ASDs in an alcohol

testing program. The FMCSA will not allow,

as a standard practice, employers to violate the

30-minute time limit for getting a confirmation

test started. Rare instances may be allowed,

at the FMCSA’s discretion, on a case-by-case

basis.

Once a screening test indicates an

alcohol concentration of 0.02 or greater,

however, a confirmation test must be

conducted, no matter how long it takes to

complete it. As stated above, these instances

will be rare.

The BAT will inform the driver of the

need to conduct a confirmation test. The driver

will be instructed not to eat, drink, or put any

object or substance in his/her mouth. The BAT

will also instruct the driver not to belch (to the


extent possible) while awaiting the

confirmation test. The BAT must inform the

driver that the test will be conducted at the end

of the waiting period, even if the driver has

disregarded the instructions.

Before the confirmation test is

administered, the BAT shall conduct an air

blank on the EBT. An air blank is a test of

ambient air containing no alcohol to ensure

that the EBT is properly calibrated. If the

reading is greater than 0.00, the BAT shall

conduct one more airblank. If the second air-

blank reading is greater than 0.00, the EBT

must not be used to conduct the test.

The confirmation test is conducted using

the same procedures as the EBT screening test.

A new mouthpiece must be used if the

screening test was conducted on the EBT. If

the initial and confirmation test results are not

identical, the confirmation test result is

deemed to be the final result.

If the result displayed on the EBT is not

the same as that on the printed form, the test

will be cancelled and the EBT removed from

service.

The BAT will sign and date the form.

The driver will sign and date the certification

statement, which includes a notice that the

driver cannot perform safety-sensitive

functions or operate a motor vehicle if the

results are 0.02 or greater. If the results are

0.04 or greater, the driver must be removed

from his/her driving duties and attendant

safety-sensitive functions and be evaluated by

an SAP. The BAT will attach the alcohol test

result printout directly onto the alcohol

collection form with tamper-evident tape

(unless the results are printed directly on the

form).

Reporting.

The BAT will transmit all results to your

designated representative in a confidential

manner (in writing, in person, by telephone, or

other electronic means). In the event a driver

must be removed from safety-sensitive

functions, the BAT will notify your

representative immediately.

Incomplete Tests (See 49 CFR part 40 Subpart N).

If a screening or confirmation test

cannot be completed, the BAT must, if

practical, begin a new test using a new alcohol

testing form with a new sequential test number.

Refusal by a driver to complete and sign

the alcohol testing form, to provide breath, to

provide an adequate amount of breath, or

otherwise to cooperate with the collection

process must be noted on the form and the test

will be terminated.


If a driver attempts and fails to provide

an adequate amount of breath, the BAT must

note this on the form and immediately inform

you. You shall direct your driver to obtain,

from a licensed physician acceptable to you, an

evaluation concerning the driver’s medical

ability to provide an adequate amount of

breath. The evaluation should be made as soon

as practical after the attempted breath test. If

the physician indicates that there was a valid

medical reason, the driver’s failure to provide

an adequate amount of breath will not be

considered a refusal. If no valid medical reason

is determined, the inadequate amount of breath

must be considered a refusal to take the test.

Test Accuracy (See 49 CFR part 40 Subpart N).

To protect the integrity of the test and to

ensure accurate results, the procedures for

conducting an alcohol test are rigorous.

Alcohol tests are considered invalid when the

following occur:

• The external calibration check of

the EBT produces a result outside

the allowed tolerance levels.

• The BAT does not wait 15 minutes

between the screening and

confirmation tests.

• A valid air blank test that registers

0.00 is not performed before each

confirmation test.

• The alcohol test form with the

attached EBT printout is not

completed correctly. Employee,

STT, and BAT signatures, and

relevant STT and BAT remarks,

must be included.

• The EBT fails to print the

confirmation results, the sequential

test number on the EBT is not the

same as the number on the printout,

or the alcohol concentration

displayed on the EBT is different

from what is printed out.

• For tests conducted on a saliva

device —

• The result is read before

2 minutes or after 15 minutes

from the time the swab is

inserted into the device.

• The device does not activate.

• The device is used for a test

after the expiration date printed

on its package.

• The STT fails to note on the

alcohol testing form that the

test was conducted using a

saliva device.


Substance Abuse Professional

The FMCSA regulations require that any

individual who has a breath alcohol

concentration of 0.04 or greater must be

removed immediately from his/her driving

duties and any attendant safety-sensitive

functions. In addition, he/she must be advised

of the resources available to evaluate and

resolve problems associated with alcohol

misuse, including the names, addresses, and

telephone numbers of SAPs and counseling

and treatment programs. The driver must also

be assessed by an SAP, who must determine

the required treatment and/or education the

driver needs in resolving problems associated

with alcohol misuse.

An SAP is (1) a licensed physician

(medical doctor or doctor of osteopathy), or

licensed or certified psychologist, licensed or

certified social worker, or certified employee

assistance professional with knowledge of and

clinical experience in the diagnosis and

treatment of alcohol-related disorders; or (2) an

addiction counselor certified by the National

Association of Alcoholism and Drug Abuse

Counselors Certification Commission or

International Certification Reciprocity

Consortium. The SAP must carry out the

following responsibilities:

• Evaluate whether each driver who

has an alcohol test result of 0.04 or

greater or has refused to submit to

an alcohol test should be

prescribed treatment and/or

education in resolving problems

associated with alcohol misuse.

• Evaluate whether each driver who

previously tested 0.04 or greater

and wants to return to work has

properly followed the SAP’s

recommendations for treatment

and/or education.

• Determine the number of months a

returning driver will be subject to

follow-up alcohol testing after

returning to duty (after the

minimum six tests required during

the first 12 months).

• Recommend whether a returning

driver should also be subject to

return-to-duty and/or follow-up

testing for controlled substances

use.

SAPs may not provide treatment to

drivers that they have assessed. Nor may SAPs

have any financial or other ties to treatment

providers who are treating drivers that the SAP

referred.


Potential SAPs should provide

documentation of their credentials and a

summary of their assessment and referral

procedures. The SAP should also provide a list

of the treatment options available and the

frequency with which each is recommended. A

primary SAP and a back-up SAP should be

selected. A contract should be negotiated that

states the specific requirements for the SAP

and the associated cost for the services. The

contract may be with individuals or with a

company that provides the SAP services.

A primary SAP should be selected to

provide services to your drivers. This

professional should be encouraged to learn

about your operations and the safety-sensitive

functions that your drivers perform. This

knowledge will be a major asset when

assessing the needs of your drivers and their

ability to perform safety-sensitive functions.

Back-up SAPs should also be selected to

provide assessments when the primary SAP is

not available.

Section 2. ALCOHOL-RELATEDCONDUCT

The FMCSA alcohol regulation prohibits

the following alcohol-related conduct by CMV

drivers:

• Using alcohol within 4 hours prior

to driving and performing

attendant safety-sensitive

functions.

• Reporting for duty or remaining on

duty requiring driving and the

performance of attendant safety-

sensitive functions while having

an alcohol concentration of 0.04 or

greater.

• Using alcohol while driving and

performing attendant safety-

sensitive functions.

• Using alcohol within 8 hours

following an accident that requires

the employee to take an alcohol

test, unless the driver has already

taken a postaccident alcohol test or

if his/her involvement has been

discounted as a contributing factor.

• Refusing to submit to an alcohol

test required by FMCSA

regulations.

In addition, driving and performing

attendant safety-sensitive functions is

prohibited after an alcohol test result of 0.02 or

higher, but less than 0.04, regardless of when

the alcohol was ingested and regardless of


whether the driver is under the influence of

alcohol as defined in Federal, State, or local

law. Conduct will result in being removed from

duty for at least 24 hours.

In addition to stipulating which behavior

is unacceptable and in violation of DOT and

FMCSA regulations, you must inform drivers

of the consequences of violating these

regulations. Drivers who have violated

provisions of the alcohol regulations are

subject to the following consequences:

• Drivers will not be permitted to

drive CMVs and perform attendant

safety-sensitive functions.

• Drivers shall be advised by the

employer of the resources

available to them in evaluating and

resolving problems associated

with the misuse of alcohol.

• Drivers shall be evaluated by an

SAP who shall determine the

treatment and/or education the

employee needs in resolving

problems associated with alcohol

misuse.

• Before returning to duty, the driver

shall undergo a return-to-duty

alcohol test resulting in an alcohol

concentration less that 0.02.

• Drivers identified as needing

assistance in resolving problems

associated with alcohol shall be

evaluated by an SAP to determine

that the driver has followed the

rehabilitation program prescribed.

• The driver shall also be subject to

unannounced follow-up alcohol

testing in resolving a problem.

Section 3. DRY RUN OF THEPROGRAM

You should begin your actual alcohol

misuse program with a dry-run period, and

then, after all is in order, implement the actual

program. Do not allow a gap between the dry

run of the program and the actual

implementation.

A detailed discussion of how to do a dry

run can be found in Chapter 6, “Controlled

Substances Testing Procedures.” The only

difference between the dry runs of the


programs is the sample collection procedure.

In the dry run of the controlled substances use

program, the urine specimen would be


collected but then disposed of in clear view of

the driver. For the alcohol dry run, the air

blank would still be performed on an operating

EBT, but the breath sample from the driver

should be blown into the EBT after the

machine is turned off. As with the controlled

substances dry run, this assures the driver that

the sample will not be analyzed, yet allows you

to trial-run all the necessary procedures.

You should announce the starting date of

actual testing at the same time that you begin

your dry run. This will allow drivers to take

full advantage of your EAP and voluntary

rehabilitation programs, if applicable.


Chapter 7 Appendix


Conforming Products List


Alcohol Screening Devices

(Authorized for Use in the DOT & FMCSA Program)Printed in the Federal Register on May 4, 2001 (66 FR 22639)

This list is subject to change. Amendments will be published by theNational Highway Traffic Safety Administration.

For Further Information Contact: Driver Control Division, NTS-21Office of Alcohol and State ProgramsNational Highway Traffic Safety Administration400 Seventh Street SWWashington, DC 20590Telephone: (202) 366 9851

Conforming Products List of Alcohol Screening Devices

Manufacturer

1. Akers Laboratories, IncThorofare, N.J.

2. Alco Check International*Hudsonville, MI

3. Chematics, Inc.North Webster, IN

4. Guth Laboratories, Inc.*Harrisburg, PA

5. Han International, Co., Ltd.Seoul, Korea

6. OraSure Technologies, Inc.Bethlehem, PA(Formerly STC Technologies, Inc.)

7. PAS Systems International, Inc.Fredericksburg, VA

8. Repco Marketing, Inc.Raleigh, NC

9. Roche Diagnostic SystemsBranchburg, NJ

10. Sound Off, Inc. *Hudsonville, MI

Device(s)

•Alcohol “

•Alco Check 3000 D.O.T•Alco Screen

3000•Alco Check 9000

•ALCO-SCREEN 02

•Alco Tector Mark X•Mark X Alcohol Checker

•A.B.I. (Alcohol Breath Indicator)

•Q.E.D. Saliva Alcohol Test

•PAS IIIa•PAS Vr

•Alco Tec III

•On-Site Alcohol

•Digitox D.O.T.•Alco Screen 1000


Evidential Breath Testing Devices

(Authorized for Use in the DOT & FMCSA Program)Printed in the Federal Register on July 21, 2000 (65 FR 45419)

This list is subject to change. Amendments will be published by theNational Highway Traffic Safety Administration.

For Further Information Contact: Driver Control Division, NTS-21Office of Alcohol and State ProgramsNational Highway Traffic Safety Administration400 Seventh Street SWWashington, DC 20590Telephone: (202) 366 9851

Manufacturer and Model Mobile Non-mobile

Alcohol Countermeasure Systems Corp. Mississauga, ONAltert J3AD* X XPBA3000C X X

BAC Systems, Inc. Ontario, CanadaBreath Analysis Computer* X X

CAMEC Ltd., North Shields, Tyne, and Ware, EnglandIR Breath Analyzer* X X

CMI, Inc., Owensboro, KYIntoxilyzer Model:

200 X X200D X X300 X X400 X X400PA X X1400 X X4011* X X4011A* X X4011AS* X X4011AS-A* X X4011AS-AQ* X X4011AW* X X4011A27-1011* X X4011A27-10100 with filter* X X5000 X X5000 (w/Cal. Vapor Re-Circ.) X X5000 (w/3/8" ID Hose option) X X5000CD X X5000CD/FG5 X X5000EN X X5000 (CAL DOJ) X X5000VA X XPAC 1200* X XS-D2 X X

Decator Electronics, Decator, ILAlco-Tector model 500* X X



Draeger Safety, Inc. Durango, COAlcotest Model:

7010* X X7110* X X7110 MKIII X X

7110 MKIII-C X X7410 X X7410 Plus X X

Breathalzyer Test:900* X X900A* X X900BG* X X7410 X X7410-II X X

Gall’s Inc., Lexington, KentuckyAlcohol Detection System-A.D.S. 500 X XIntoximeters, Inc., St. Louis, MO

Photo Electric Intoximeter* XGC Intoximeter MK II* X XGC Intoximeter MK IV* X X

Auto Intoximeter*Intoximeters Model:

3000* X X3000 (rev B1)* X X3000 (rev B2)* X X3000 (rev B2A)* X X3000 (rev B2A) w/FM Option X X3000 (Fuel Cell)* X X3000 D* X X3000 DFC* X X

Alcomonitor XAlcomonitor CC X XAlco Sensor III X XAlco Sensor IV X XAlco-Sensor IV-XL XL XAlco-Sensor AZ X XRBT-AZ X XRBT III X XRBT III-A X XRBT IV X XRBT IV with CEM (cell enhancement module) X XPortable Intox EC/IR X XKomyp Kitagawa, Kogyo, K.KAlcoyzer DPA-2* X XBreath Alcohol Meter PAM 101B* X X



Life Loc, Inc., Wheat Ridge, COPBA 3000B X XPBA 3000-P* X XPBA 3000C X XAlcohol Data Sensor X XPhoenix X XLion Laboratories, Ltd., Cardiff, Wales, United KingdomAlcolmeter Model:

300 X X400 X XAE-D1* X XSD-2* X XEBA* X XAuto-Alcolmeter* X X

Intoxilyzer Model: 200 X X200D X X1400 X X5000CD/FG5 X X5000 EN X X

Luckey Laboratories, San Bernadino, CAAlco-Analyzer Model:

1000* X X2000* X X

National Draeger, Inc., Pitts-burgh, PAAlcotest Model:

7010* X X7110* X X7110 MKIII X X7110 MK-C X X7410 X X7410 Plus X X

Breathalyzer Model:900* X X900A* X X900BG* X X7410 X X7410-II X X

National Patent Analytical Systems, Inc., Mansfield, OHBAC DataMaster (with or without the Delta-1 accessory) X XBAC Verifier DataMaster (with or without the Delta-1 accessory) X XDataMaster cdm (with or without the Delta-1 accessory) X XOmicron Systems, Palo Alto, CAIntoxilyzer Model:

4011* X X4011AW* X X



Plus 4 Engineering, Minturn, CO5000 Plus4* X XSeres, Paris, FranceAlco Master X XAlcopro X XSiemans-Allis, Cherry Hill, NJAlcomat* X XAlcomat F* X XSmith and Wesson Electronics, Springfield, MABreathalyzer Model:

900* X X900A* X X1000* X X2000* X X2000 (non-Humidity Sensor)* X X

Sound-Off, Inc., Hudsonville, MIAlcoData X XSeres Alco Master X XSeres Alcopro X XStephenson Corp.

Breathalyzer 900* X XU.S. Alcohol Testing, Inc./Protection Devices, Inc., Rancho Cucamonga, CAAlco Analyzer 1000 XAlco Analyzer 2000 XAlco Analyzer 2100 X XVerax Systems, Inc., Fairport, NYBAC Verifier* X XBAC Verifier DataMaster X XBAC Verifier DataMaster II* X X


Evidential Breath Tester Calibration Devices(Authorized for Use in the DOT & FMCSA Program)

Printed in the Federal Register on December 29, 1994 (59 FR )This list is subject to change. Amendments will be published by the

National Highway Traffic Safety Administration.

For Further Information, Contact: Driver Control Division, NTS-21

Office of Alcohol and State Programs

National Highway Traffic Safety Administration

400 Seventh Street, SW

Washington, DC 20590Telephone: (202) 366-9851www.dot.gov/ost/dabc

Manufacturer

1. CMI, Inc., Owensboro, KY

2. Guth Laboratories, Inc., Harrisburg, PA

3. National Draeger, Inc., Pittsburgh, PA

4. PLD of Florida, Inc., Rockledge, FL

5. Repco Marketing, Inc., Raleigh, NC

6. U.S. Alcohol Testing, Rancho Cucamonga, CA

Calibrating Unit

•Toxitest II

•Model 34C Simulator•34C (Cal DOJ)•34C-FM•34C-NPAS•Model 3412•Model 10 4•Model 1214

•Mark II-A

•BA 500

•AS-1

•Alco-Simulator 61000

Note: Instruments meet the model specifications in 59 FR (December 29, 1994).


Breath Alcohol Testing Form



Air Blank In evidential breath testing devices (EBTs) using gaschromatography technology, a reading of the device’s internalstandard. In all other EBTs, a reading of ambient air containingno alcohol.

Alcohol Confirmation Test A subsequent test using an EBT, following a screening test witha result of 0.02 or greater, that provides quantitative data aboutthe alcohol concentration.

Alcohol Screening Test An analytical procedure to determine whether a driver mayhave a prohibited concentration of alcohol in his or her salivaor breath specimen.

Alcohol Screening Device (ASD) A breath or saliva device, other than an EBT, that is approvedby the National Highway Traffic Safety Administration(NHTSA) and placed on a conforming products list (CPL) forsuch devices.

Breath Alcohol Technician (BAT) An individual who instructs and assists individuals in thealcohol testing process and operates an EBT.

Cancelled or Invalid Alcohol Test A drug or alcohol test that has a problem identified that cannotbe or has not been corrected, or which this part otherwiserequires to be cancelled. A cancelled test is neither a positiveor negative test.

Evidential Breath Testing(EBT) Device A device approved by NHTSA for the evidential testing of

breath at the .02 and .04 alcohol concentration, placed onNHTSA’s Conforming Products List (CPL) for “EvidentialBreath Measurement Devices” and identified on the CPL asconforming with the model specification available fromNHTSA’s Traffic Safety Program.

Refusal to Submit to anAlcohol Test The driver fails to provide an adequate amount of saliva or

breath for testing without a valid medical explanation after he


or she has received notice of the requirement for breath testingin accordance with these regulations or engages in conduct thatclearly obstructs the testing process.

Screening Test Technician(STT) A person who instructs and assists drivers in the alcohol testing

process and operates an ASD.

EAPs, Rehabilitation, and Treatment8 - 1

Chapter 8. EMPLOYEEASSISTANCE PROGRAMS,REHABILITATION, ANDTREATMENT

Under the FMCSA controlled substances

use and alcohol misuse regulation, you are

required to refer any driver to an SAP for

evaluation, who has used controlled substances

or misused alcohol, regardless of the

consequences specified in your policy (see 49

CFR part 40, subpart O). For example, you

must provide these referrals to your drivers

even if your policy is to terminate drivers who

violate the controlled substances use and

alcohol misuse regulations. You must also

inform your drivers of resources available to

resolve problems associated with controlled

substances use and alcohol misuse.

You are not required by this regulation to

provide, or to pay for, rehabilitation and

treatment programs. However, many

employers choose to do so because research

and experience have demonstrated that such

programs can be highly cost-effective.

EAPs, Rehabilitation, and Treatment 8 - 2

Programs that address substance abuse

problems in the workplace are often referred to

as “employee assistance programs” or “EAPs.”

Many EAPs address other problems of drivers

and their family members.

Providing EAP services to support the

controlled substances and alcohol regulations

may be relatively inexpensive if you already

have an EAP in place. In many cases, your

existing EAPs may already be providing some,

or all, of the recommended services, such as

assessment and counseling.

For these reasons, employers that

currently do not have EAPs should carefully

consider the economic and other benefits of

establishing them when implementing their


testing programs. Employers that already offer

EAPs should review them for opportunities to

integrate their FMCSA-mandated testing

programs. You should ensure, however, that

the testing programs do not compromise, or

appear to the drivers to compromise, the

integrity of the EAP.

The relationship of the SAP to the EAP

is a complex and sensitive one. Under the

regulation, the SAP must evaluate those who

fail controlled substances and alcohol tests.

The SAP is required to recommend the

appropriate treatment and/or education to a

driver who has tested positive on a DOT

controlled substances or alcohol test.

According to the regulation, the employer is

responsible for ensuring that the SAP does not

refer drivers to a treatment provider that has a

financial relationship with the SAP. This

provision applies whether or not the employer

offers an EAP or other treatment coverage.

SAPs are also responsible for ensuring

that drivers satisfactorily complete treatment

before they are permitted to return to safety-

sensitive duties. In this case, an SAP

associated with the EAP or other treatment

program may, at the employer’s option, be the

one to certify readiness to return to duty even if

a financial relationship exists between the SAP

and the treatment provider. Since not all

counselors in treatment programs will possess

the credentials required in the regulations to

qualify as a SAP (§382.107), employers must

confirm this qualification prior to accepting the

return-to-duty recommendation.

Section 1. EMPLOYEEASSISTANCE PROGRAMS

EAPs help drivers and their family

members with personal and behavioral

problems, including but not limited to health,

marital, financial, alcohol, drug, legal,

emotional, stress, and other concerns that may

adversely affect performance and productivity.


EAP services may be provided directly

by the employer or union, or they may be

contracted out. Generally speaking, employers

with fewer than 3,000 employees will find it

more cost-effective to contract out for services.

In addition, regardless of the number of

employees, if workers are geographically

dispersed or if the EAP is intended to be “full-

service” and to cover a broad range of

problems, contracting out is often cost-

effective.

Internal EAPs (those operated directly by

the employer) are typically established within

human resources or medical departments.

Although the company operates the EAP, the

EAP facility may or may not be on the

employer’s property.

External EAPs are contracted services

provided for the employer or union by an

outside vendor. Vendors may be large national

or international EAP providers, local

specialized EAP providers, or university-based

or other mental health clinics. As with the

internal EAPs, physical facilities may or may

not be located on the employer’s property.

Finally, just as with testing programs,

EAPs may be cost-effectively developed

through consortia (see Chapter 10, “Joining a

Consortium”). Small employers or unions join

together to combine their resources and

achieve purchasing power and operational

expertise typically unavailable to any one

consortium member acting individually. For

example, a 10-driver employer that could not

afford to purchase external EAP services on its

own could join a consortium with other similar

employers and achieve more favorable

financial terms.

Because consortia EAP offer both

advantages and disadvantages, their use should

be carefully considered. On the positive side:

• Consortia reduce costs for small

and medium-sized employers.

• Confidentiality is easier to

maintain.

• Community resources are usually

better identified and employed.

• A greater range of employees can

be served.

• Often the counseling staff has

greater diversity and better

credentials.

On the negative side:

• Some supervisors and managers

will be reluctant to bring


“company matters” before

“outsiders.”

• The consortium providers (like

other external EAP operations)

have limited knowledge of the

company.

• Role definition between the

consortium and the individual

members may be unclear, leading

to misunderstandings.

• Participating employers may

disagree about services needed and

apportionment of costs.

• Counselors may find it difficult to

integrate themselves into your

work force.

Clearly, several of the negatives apply to

all external EAPs and not just to consortia.

Sound management, a spirit of cooperation,

and careful selection of the consortium

management and staff can alleviate many of the

potential negatives.

The specific services your EAP will

provide are a matter of program design. You

can choose to include any services you believe

will improve the productivity and safety of

your work force. Table 8.1 suggests features

that EAPs should provide whether they are

internally, externally, or consortium-operated.

In addition, some specific requirements

of the new testing regulations lend themselves

to being performed by EAPs. Examples of

these requirements include

• Maintenance of confidential

program records

• Program reporting

• Testing (particularly return-to-duty

and follow-up)

• Supervisory training and driver

education on the requirements of

alcohol and drug testing

regulations.

You should keep in mind, however, that

your EAP may object to conducting drug

testing, particularly testing that is not

conducted for return-to-duty or follow-up

purposes. This may be the case even if the

EAP normally conducts testing as a part of its

treatment regimen. EAPs often feel that

conducting company drug testing makes them

appear to be part of the disciplinary or security

functions of the company, and as such

discourages self-referrals for treatment

services.


Features

Program Development

EAP Promotion

Clinical Services (Includes Immediate Family)

Supervisor and Manager Training

Consultation

Reports and Evaluation

Fee Options Available

Other Services and Features Available

Comprehensive Option

—Needs Assessment—Program Design—Policies and Procedures Development—Union Integration—Start-Up Meetings with Key Personnel and Advisory

Committee

—Annual Face-to-Face Employee Orientations (or Video)—Wellness Seminars—Posters—Paycheck Stuffers and Wallet Cards—Personalized EAP Brochure

—Face-to-Face Assessment, Counseling, and ReferralServices

—24-Hour Response—Appointments Within 48 Hours—Telephone and Face-to-Face Follow-Up for a Minimum of 3

Months until Problem Resolution

—Training Programs (2.5 Hours Each)—Periodic Updates for New Managers and Supervisors—Supervisor’s Guide

—Consultation With Key Managers as Needed—Unlimited Telephone Consultation and Assistance to

Individual Supervisors as Needed

—Quarterly Reports Analyzing Performance(Statistical Summaries and Narrative Reports WithRecommendations)

—Semi-annual Presentations to Senior Management

—Per Capita Fee—Sliding Scale Based on Utilization—Administrative Fee/Per-Case Basis

—Critical Incident Response—Executive Assistance Program—Drug-Free Workplace Training and Consultation—Workplace Seminar Series

Table 8.1. Features of a Full-Functioning EAP


Providing an EAP.

As mentioned above, the testing

regulations do not require you to provide

treatment or rehabilitation for your drivers.

Nonetheless, many employers in a variety of

industries, with and without testing programs,

have discovered the value of providing

employee assistance services for their

employees and their immediate families.

According to the U.S. Department of

Labor, corporations are increasingly turning to

EAPs to deal with their employees’ substance

abuse problems. More than 10,000 EAPs

operate across the country.

All sizes and types of employers have

instituted EAPs. They can help save money by

decreasing absenteeism, the number of

accidents, use of medical and insurance

benefits, worker’s compensation claims,

grievances and arbitrations, and employee

replacement costs.

Major Decisions to be Made in Establishing an

EAP

The decisions you must make in

establishing an EAP fall into three broad

categories:

• Program Scope

— Employee eligibility (e.g., all

employees, safety-sensitive

employees only, probationary

employees, immediate family

members, significant others)

— Number of work sites to be served

— Location of work sites

— Types of problems to be

addressed (e.g., substance abuse,

legal, financial, marital,

psychological).

• Program Type

— Internal: provide in-house EAP

— External: purchase services of

external company

— Consortium: combine with other

employers to purchase services.

• Program Administration

— EAP interface with other

departments and programs (e.g.,

personnel, benefits, unions,

training and development,

controlled substances use and

alcohol misuse testing,

progressive discipline)

— Resources, facilities, and staffing

— Program launching and promotion


— Education, training, and

consulting

— Program accountability (statistical

reporting, records, program

evaluation).

Steps in Establishing an EAP

Because the steps you will follow to

establish an EAP closely parallel those you

have followed in establishing your controlled

substances use and alcohol misuse program,

much of the work may have already been

accomplished. At the very least, you will have

procedures and processes in place that can

guide your EAP development.

While there are many ways to approach

EAP development, the following steps have

proved useful for many organizations:

• Create a program advisory

committee.

• Conduct a needs assessment.

• Select a provider.

• Estimate the cost.

• Determine what needs to be done

after an EAP service provider is in

place.

• Determine additional resources

available.

Creating a Program Advisory Committee.

You may have established such a

committee or task team to implement your


program. The program advisory committee

involves many components of the employer

organization in designing and implementing

the EAP. This can be critical later in

promoting the acceptability and use of the

program.

Typically, a program advisory committee

will include representatives of both labor and

management. It will also cut across employer

divisions and departments. The general rule

you should follow in selecting participants is

that if their support will be important in

implementing or operating the program, they

should be included. Obvious departments to

include are human resources, medical services,

labor relations, legal, and security, as well a

broad representation of employees to be

covered by the program. Because of the

importance of the interface between your


testing programs and the EAP, whoever

manages those programs should be on the

advisory committee. However, if your EAP

will provide typical services and will not


simply be a counseling arm of the testing

program, the manager of the testing program

should not be the chair of the program advisory

committee or the coordinator of the EAP.

The responsibilities of the program

advisory committee will be to develop,

implement, and oversee the EAP. This

committee will be the primary force moving

the creation of the EAP, but its responsibilities

will not end once the EAP has begun operating.

The program advisory committee will

develop the EAP policy (which may require

negotiation between management and

bargaining units) and ensure that the policy and

the program are properly integrated with other

policies and operations of the employer.

To meet its responsibilities in these

areas, the program advisory committee may

turn to outside resources, including

• Other employers of CDL holders

who operate EAPs

• Independent personnel and

employee benefits consultants

• EAP professionals, including local

and national employee assistance

professional associations

Conducting a Needs Assessment.

The needs assessment is used to help you

determine the scope of services the program

should offer and other elements of program

design. It can be useful in identifying

characteristics of the work environment that

affect employee performance, as well as in

predicting utilization levels for various EAP

services. This last information can be

particularly valuable since it will help you staff

the EAP appropriately and budget accurately.

It can also suggest the most advantageous fee

structure in any contract to be negotiated with

an external EAP service provider.

You may also choose to conduct a needs

assessment on an annual or biennial basis as a

part of an organized evaluation and planning

tool for assessing and improving EAP

performance.

Selecting a Provider.

If you choose to operate a program

internally, once you have your needs

assessment in hand, you are ready to begin

identifying staff and establishing the program.

Many employers will choose to contract

for external EAP services either individually or

as members of a consortium. If you have

determined that a consortium is the best


approach, you will need to identify potential

partners. Local associations of EAP

professionals, chambers of commerce, other

business groups, and your State industry

association may be helpful. However you

identify your partners, you should work with

them on a program advisory committee so that

the EAP consortium is responsive to all

members’ needs. While, as with all

committees, this may result in a better program

than you might have designed individually, you

may also need to compromise on design issues

in ways that you would not if you were not a

part of a consortium.

You will need to prepare and release a

request for bid (RFB) to obtain EAP services.

Because of the wide variety of types of EAP

services and the different interpretations of

common terms, your RFB should be very

specific about the services you want to

purchase and how you expect the bidders to

prepare their responses. This specificity will

help make sure that you are purchasing the

services you expect and that proposals from

different vendors are comparable. Just as

importantly, it will serve as the basis for a very

specific contract that you will negotiate with

the service provider.

The appendix to this chapter contains a

sample RFB for purchasing EAP services. You

should review it to determine the extent to

which it meets your program design needs.

Send the RFB to EAP providers who

serve your area. You will be able to generate

names by talking to other employers in the

area, by consulting your local or State

employee assistance professionals association,

or by looking in your Yellow Pages directory

under a heading such as “Employee Counseling

Services.”

Be sure to allow bidders adequate time

to provide the detailed information you have

requested in the format you have specified.

Make the results of your needs assessment

available to those who request it. If your

company’s purchasing procedures permit, meet

with vendors who request meetings. EAPs are

very “people-oriented,” and you should take

the opportunity to get to know the people who

want to provide this service for your work

force. You must be comfortable with them.

You are, after all, turning over the care and

well-being of your most valuable asset to them.

The draft RFB in the appendix suggests

selection criteria you will want to employ in

choosing among bidders. Relevant criteria

might include, for example,


• Services offered

— Assessment

— Short-term counseling

— Referrals

— Follow-up

— Referral source maintenance

• Case management procedures

• Clinical supervision procedures

• Reporting procedures

• Managerial and supervisory

training

• Management consultation

• Employee education and program

announcement

• Staff qualifications

• Office space, facilities, and hours

of operation

• Methods for evaluating EAP

performance

• Organizational experience

• Understanding of your employees,

work force, and needs

• Confidentiality and record keeping

procedures

• Participation rates (historical and

anticipated/guaranteed)

• Financial capability

• Understanding of

multiculturalism, multilingual

forces

• Price.

In the end, your best indication of how

good a particular vendor will be might be

determined best through interviews of other

organizations the vendor serves. Once you

have narrowed your search to two or three

finalists who seem to meet your criteria, call

several clients of each and ask detailed

questions. While it is important that the EAP

vendor understand workers in your industry, it

is just as important that they have a thorough

knowledge of the resources available in your

community. Therefore, when you check

references, be sure to call companies located in

your community, as well as other companies in

your industry.


Estimating the Cost.

Depending upon the size of your work

force, its location, types of programs available,

number of problems in your work force, whom

you cover, and many other factors, the cost

may vary significantly. This is true whether

your program is internal or external. The more

responsibilities the EAP has, the more it will

cost. Internally, these costs are borne through

the salaries and administrative costs of the

program. Externally, they are recovered

through the vendor’s pricing structure.

The pricing structure may vary. You may

have the option of paying on a per-capita basis,

where you pay a set amount per year for each

employee, whether or not each employee uses

the program, or you may pay on a fee-for-

service basis, where you pay only when an

employee actually sees a counselor.

Actual pricing may vary from $10 to

$110 per employee annually. In all but unusual

circumstances, you can probably obtain

comprehensive services at no more than $30 to

$50 per employee per year.

Determining What Needs to Be Done After an

EAP Is in Place.

Regardless of whether you have an

internal, external, or consortium EAP, someone

must be in charge. We refer to that person as

the EAP coordinator although, in fact, the

person may have a different title in your

company (e.g., nurse, human resources

specialist, vice president). Typically, this

person will be the same one who coordinated

the planning for the EAP with the program

advisory committee.

The responsibilities of the EAP

coordinator include

• Coordinating program advisory

committee meetings

• Overseeing implementation of the

EAP

• Scheduling senior management

briefings

• Planning and coordinating EAP

activities (e.g., training, employee

orientation sessions, news articles)

• Overseeing EAP promotional

activities

• Negotiating the EAP contract

(usually annually)

• Monitoring the effectiveness of the

EAP

• Monitoring the EAP provider’s

performance.


Determining the Additional Resources

Available.

Implementation of the EAP is a time

consuming-process that should not be rushed.

If you do not have a program now and wish to

consider incorporating one as a rehabilitation

component to your controlled substances use

and alcohol misuse program, begin right away!

EAPs that succeed have been carefully planned

and developed with the support and

cooperation of many levels of management and

union participation as well.

In addition, many companies, including

those employing CDL holders, have

implemented EAPs before you. Take

advantage of their experience. As discussed

above, consultants are available to help you

establish a program, but a great deal of free and

nearly free information is also available.

Section 2. REHABILITATIONAND TREATMENT

As noted earlier, the FMCSA regulation

does not require you to provide, or pay for,

rehabilitation and treatment programs.

However, rehabilitation and treatment

programs are often an integral part of

successful substance abuse programs. The

decision to provide rehabilitation to affected

employees should be made with both the

employer’s and employees’ needs in mind.

Inpatient and outpatient services are

available. The inpatient mode often involves a

1-to-4 week stay in a hospital or residential

treatment center and may be targeted toward

the more severely addicted person. The

outpatient mode is appropriate for those

persons who are employed and can benefit

from education and behavior modification to

remain drug-free and/or alcohol-free.

Intensive Inpatient Services.

Inpatient centers treat dependent people

with physical and/or psychological

complications. Patients in intensive treatment

may need supervised detoxification and may

suffer physical withdrawal symptoms. As part

of treatment, patients will attend education and

awareness lectures and group therapy sessions.

Frequently, family members are involved in

treatment, since dependency affects the entire

family.

Intensive Outpatient Services.

These services generally treat dependent

patients who have fewer physical or

psychological complications. They offer

effective and less expensive alternatives to

residential care for individuals with relatively

stable home environments and supportive

employers. The patient receives education,

group therapy, and individual counseling for up


to 10 weeks, with most sessions scheduled in

the evenings (generally three sessions per

week). These programs often require some

family involvement. Costs are generally one

third to one half of those for intensive inpatient

treatment.

Outpatient Follow Up Services.

Patients discharged from intensive

treatment need further help. Help may be

provided through an outpatient follow-up

program lasting several months to a year or

more. One visit per week is typical. Many

inpatient and intensive outpatient treatment

plans include weekly follow-up sessions at no

additional cost.

Usually your employee assistance

counselor develops a treatment program that

best meets the needs of the employee in a cost-

effective manner. If, however, you participate

in making a treatment referral, the following

guidelines will assist in evaluating the

treatment program’s effectiveness.

• Cost. High cost does not

guarantee effectiveness. Conduct

a cost comparison of programs. It

could be, for example, that cost

disparities are in the number of

professionals per bed, total hours

of one-on-one counseling and

group therapy, number of days of

treatment, amount of aftercare

counseling, or extent of other

medical resources utilized.

• Reputation. Ask other SAPs and

former program participants for

their candid opinions concerning

the effectiveness, service, and

reliability of the treatment

program.

• Staff qualifications. A quality

program should have a balance of

professionals. Intensive inpatient

programs should be staffed by

nurses, physicians, psychologists,

social workers, and formerly

dependent counselors. There

should be medical management of

detoxification. Intensive outpatient

programs should be staffed by a

mix of psychologists, social

workers, and formerly dependent

counselors. In both cases, all

professional staff should be State-

certified treatment specialists or

counselors interning for

certification.

Although an EAP is not required under

the FMCSA regulations, a policy decision to

attempt to reclaim human resources should be

carefully considered.


At first glance, it may seem

inappropriate to allow anyone to work again

who has demonstrated a high-risk behavior

such as controlled substances use or alcohol

misuse. However, treatment and rehabilitation

can be effective. In addition, trained, skilled

labor is a valuable resource. You should

consider employee replacement costs, as well

as the impacts on work productivity and

morale, as you evaluate the cost-effectiveness

of EAP rehabilitation services.


Chapter 8 Appendix


(Reproduced from the Employee Assistance Program for Transit Systems Manual, September 1991)

SAMPLE

Request for Bidfor

Employee Assistance Program Services

Purpose: To Provide Employee Assistance Program (EAP) Services to Company Employees who arenow subject to the controlled substances and alcohol regulations of the DOT and FMCSA.

Closing Date:

Place Due:

For Further Information Contact:

I. Purpose of Request for Bid

The purpose of this Request for Bid (RFB) is to solicit proposals to provide EAP technical andprofessional services for the Employer.

II. Description of the Project

The Employer, with an average population of (#) regular employees, is seeking to provideprofessional and confidential counseling and referral service to those employees experiencingpersonal problems. The Employer is requesting a comprehensive, broad-brush approach in theprovision of diagnostic, treatment, referral, and follow-up activities to employees. Included inthe program service is the basic training of company managers and supervisors in the purposesand uses of EAP.

III. Scope of Services

Provide EAP services including, but not necessarily limited to, the following:

A. Confidential, professional, and comprehensive diagnostic, counseling, and referralservices for any employee experiencing personal problems. The first session should beinitially offered within a reasonable time from employee contact.

B. Program administration, recordkeeping, and reporting. Assignment of staff toadministratively service the Employer’s EAP, maintain complete and confidential


records, and report quarterly to the Employer on various program and utilizationstatistics.

C. Annual supervisory training sessions to company supervisors in the function and uses ofan EAP.

D. Communication and consultation with EAP staff by company supervisors aboutnonconfidential issues, should the need arise.

E. Periodic development and provision of EAP informational materials to the Employerwork force.

F. Office space to provide necessary services.

IV. General Instructions

A. Proposal Content

Proposals must set forth full, accurate, and complete information as required by theRFB, and should:

1. Describe how the respondent will deal with each item outlined in the section ofthis RFB headed “Scope of Services.” This applies even if it is the intent of therespondent to eliminate the item or to substitute some other activity.

2. Set forth an implementation plan specifying the staff credentials, capabilities,tasks to be performed, and relevant timetables for service.

3. Provide budget breakdown and fee schedule.

4. Provide original and five copies of bid.

5. Provide reference list and permission statement allowing the Employer to contactreferences as needed.

6. At the option of the respondent, include examples of no more than two relevant orsimilar projects provided by the respondent. It is highly desirable that, if suchmaterial is submitted, it be in the form of a brief summary that includes adescription of the customer, description of services provided by respondent,description of the methodology employed, and examples of reporting forms used.

V. Criteria for Evaluating the Bids Received

The prospective contractor will be selected principally on the following criteria, though notnecessarily in this order of ranking:


A. Offeror’s proposed statement of work. Emphasis will be on soundness of approach,service provisions, previous experiences, and the quality of recommendations in meetingthe Scope of Services.

B. Capability for establishing working relationships. The personnel of this project must beable to work effectively with the management of the Employer. Documentation ofpreviously successful relationships is preferred. Interviews with prospective contractorswithin competitive range may be conducted to provide input for this criterion.

C. Background and previous experience of agency/personnel (including consultant andsubcontractors) to be assigned to provide EAP services and their demonstratedcompetence in the type of work to be performed (include a complete resume and timecommitment for professional persons to be assigned).

D. Budget and fees.

E. Organization and management. Consideration will be given to administrative,management, and program controls, and the ability to commit staff and relevantresources to an EAP.

F. Ability to satisfy minimum indemnification and insurance requirements as detailedunder Section IX herein.

VI. Contract Requirements

A formal contract arrangement will be entered into with the EAP provider selected and theEmployer. The providers considered will be selected from responses to this RFB. Time periodof the contract shall cover one year.

VII. Compliance with Federal and State Laws

The provider shall comply with all applicable Federal and State laws, rules, and regulations,and will not discriminate or permit discrimination against any person or group of persons onthe grounds of sex, race, color, age, religion, or national origin in any manner prohibited bylaw.

VIII. Acceptance Period

In submitting a proposal, RFB respondents agree that the proposal remain valid for a period of60 days after the closing date for submission of proposal and may be extended beyond thattime by material agreement.


IX. Indemnification and Insurance Requirements

A. Indemnification—The EAP provider agrees to defend, indemnify, and hold harmlessthe Employer and its employees from any claims, liabilities, obligations, and causes ofaction of whatsoever kind and nature for injury to or death of employees of the provideror any other person and for damage to or destruction of property, or loss of use,including property of the Employer, in connection with services performed under thisagreement regardless of cause except that provider shall not be required to assumeresponsibility or indemnify the Employer for such injuries, damages, or claims deemedby law to be due to the sole negligence of the Employer or its employees.

B. Insurance Requirements—The EAP provider agrees to procure and maintain in effectfor the duration of this agreement the following insurance coverage with insurerslicensed or approved to conduct business in the State and holding a current financialrating satisfactory to the Employer.

1. Professional Legal Liability—Insuring against claims or suits brought byemployees alleging injuries or damages, including claims brought directly by theEmployer, due to errors and omissions and deemed to have arisen out of work orservices performed under this agreement. Coverage shall be broad enough toinclude:

a. Contractual Liability

b. Contingent Liability

Claims Made Policy—Shall provide for not less than 12 month discovery periodor agreement that coverage will be renewed for a period of not less than 1 year,such completion of work or services under this agreement. In the event theEmployer requires coverage beyond such extension, it will retain the right toimplement such requirement prior to expiration of existing coverage as specifiedabove.

2. Commercial General Liability—Insurance against claims or suits brought byemployees alleging bodily injury or damages of property and claimed to havearisen out of services provided under this agreement. Coverage shall be broadenough to include:

a. Premises and Operations

b. Contingent Liability

c. Contractual Liability


Limits of Liability—Shall not be less than $1,000,000 for coverage under 1 and 2above.

Additional Named Insured—Naming the Employer as an additional insured.

Knowledge of Occurrence—Standard Wording

Notice of Occurrence—Standard Wording

3. Workers Compensation and Employers Liability—Insuring in accordance withstatutory requirements in order to meet obligations toward employees in the eventof injury or death sustained in the course of employment. Employers Liability(Coverage B) shall not be less than $100,000 each claim.

Policies under 1, 2, and 3 shall be endorsed to include the following:

Notice of Cancellation—In the event of nonrenewal or cancellation, provider’sinsurance shall give written notice to the Employer indicating that such cancellation ornon-renewal shall not be effective in less than 60 days from the date the notice isreceived by registered mail.

Certificate of Insurance—Prior to start of work or operations under this agreement orcontract, a properly authorized certificate of insurance evidencing that the abovedescribed coverage is in effect.

Administration9 - 1

Chapter 9.ADMINISTRATION

You must maintain certain records

concerning your alcohol and controlled

substances testing program for specific periods

of time. While most of the recordkeeping and

reporting requirements are specified in the

regulations, others are good business practices.

This chapter consolidates these requirements to

provide a comprehensive picture of

recordkeeping and reporting processes.

Section 1. RECORDKEEPING

You must maintain records on your

program administration and the test results of

individuals for whom you have testing

responsibility. Figure 9.1 summarizes your

record retention requirements. You must

maintain your records in a secure location with

controlled access. The duration and types of

records that must be maintained can be found

in the appendix of this chapter. Records shall

Figure 9.1. Record Retention Requirements

Administration 9 - 2

be made available for inspection at the

employer’s principal place of business within 2

business days after a request has been made by

an authorized representative of the Federal

Motor Carrier Safety Administration

(FMCSA).

Specific records may be maintained on

computer, or at a regional or terminal office,

provided the records can be made available

upon request from FMCSA within 2 business

days.

If you use a consortium to administer

your testing program, you may arrange to have

the consortium maintain some or all of your

records. It is not necessary, under these

circumstances, for you to maintain a duplicate

set of records. However, it is your

responsibility to exercise and document

oversight/compliance activities to ensure that

records are accurate and current and that they

fully comply with FMCSA regulations. The

consortium must be able to get documents to

the employer within 2 business days.

Oversight of the consortium may include those

activities shown in Table 9-1. Checklists of

how long you must maintain your records can

be found in the appendix at the end of this

chapter.

Section 2. DOCUMENTATION

In addition to the specific requirements

set forth in the regulations, other portions of

the rule pertain to record-keeping or reporting

responsibilities that are described in greater

detail elsewhere in these guidelines. These

other responsibilities are the following:

Driver Program Participation.

If you wish to use a driver who

participates in an alcohol and controlled

substances testing program (that meets these

regulations) administered by another employer,

you must retain information about the driver’s

participation in that program. This information

is discussed in detail in Chapter 5, “Types of

Testing.” This information must be verified

every six months if you continue to use the

driver (§382.301(d)(2)).

Release Form.

When verifying information about a

driver participating in another alcohol and

controlled substances program, you will need a

request signed by the driver authorizing the

other testing program to release the necessary

information to you.

Similarly, you will need a written authorization

from your driver to release information to other

employers (§382.405(h) and 40.321(b)).

Reasonable Suspicion.

When supervisors request a driver to submit to

testing for reasonable suspicion, the

behavior(s) that led to the request to test must

be documented.

Administration9 - 3

Table 9.1. Examples of Consortium Monitoring/Oversight Activities

• Reviewing references of organizations and bidders proposing consortium services toensure that they are qualified to perform the services and, ideally, that they currently areperforming the same or similar services successfully.

• Maintaining a contract that requires the consortium to retain records in compliance with49 CFR part 382 and any amendments to that regulation or subsequent regulationsregarding FMCSA-controlled substances and alcohol-testing recordkeeping.

• Requiring the consortium to provide regular (monthly or quarterly, as appropriate to yourtesting volume) reports of testing activity regarding your employees.

• Maintaining a contract that permits you to review the consortium’s procedures andfacilities and to review the records of your employees. Exercising this option wherefeasible or economically justifiable to do so.

• Maintaining a contract that requires the consortium to provide you with copies of yourrecords upon request within 2 employer business days if you require such records forFMCSA or other review.

This documentation should include the identity

of the driver, time and location of the

observation(s), behavior(s) observed, and

signature(s) of the witness(es).

Random Testing Selection Process.

You must document the selection

process used for random testing. For example,

you must Maintain a list of the employees

tested, the identification of employer

representatives selecting the sample, the dates

of selection and testing, and the confidential

test results for each testing period.

Section 3. CONFIDENTIALITY

The regulations require that test results

may be released only under the following

circumstances:

• Employers must release

information or copies of records

regarding a driver’s test results to

a third party only as directed by

specific, written instruction of the

driver [this includes the driver’s

subsequent employer(s)]

(§382.405(f) and 40.25(h)).


• Employers may disclose

information related to a test result

to the decision maker in a lawsuit,

grievance, or other proceeding

initiated by, or on behalf of, the

driver tested (§382.405(g) and

40.323(a)(2)).

• Upon written request, employers

must promptly provide any driver

with records relating to his or her

test. (§382.405(b))

• Employers must release

information to the National

Transportation Safety Board

(NTSB) about any post-accident

test performed for an accident

under investigation. (§382.405(e))

• Employers must make available

copies of all results of driver

testing programs, and any other

records pertaining to testing

programs when requested by

FMCSA or any State, or local

agency with regulatory authority

over the employer or any of its

drivers. (§382.405(d))

Employers must maintain records in a

secure manner, so that disclosure of

information to unauthorized persons does not

occur. (§382.405(a))

Besides employers, the collection site

personnel, the laboratory, the MRO, the BAT,

and the SAP must also be held to strict

confidentiality requirements. The laboratory

must be prohibited from releasing individual

test results to anyone except the designated

MRO (§40.97(b)). The MRO and the BAT

must only report individual test results to you

or your designated representative and to the

individual who was tested. To ensure that

confidentiality is not violated, it is your

responsibility to clearly define who will receive

test results and for what purposes.

The release of test results is only one

concern. You must also be sensitive to driver

expectations of confidentiality in other aspects

of your controlled substances use and alcohol

misuse program. For example, if it becomes

widely known that a driver has undergone

reasonable suspicion testing (even though the

test results are negative), that driver may feel

that his or her privacy and confidentiality has

been violated. Likewise, if referrals to an EAP

for rehabilitation become a topic of gossip,

drivers may lose faith in your program and

become distrustful of, and hostile toward,

management. Therefore, confidentiality should

be applied to all aspects of your controlled

substances use and alcohol misuse program,

particularly with respect to identifying specific

individuals. The general rule of thumb is to

apply the same high regard for privacy and

Administration9 - 5

confidentiality that you would want and expect

for yourself.

Medical Review Officer (§382.407).

The MRO is the only individual in the

controlled substances testing process with

access to all the items of information provided

during the procedure, including receiving test

results from the laboratory and any privileged

medical information from the driver. It is the

MRO who passes on individual test results to

the driver and the employer. The regulations

specify the manner in which test results are to

be transmitted to the employer. The MRO may

initially report to the employer using secure

and confidential messenger, fax, telephone,

electronic transmission or any other secure,

confidential communications device. In all

instances of any test result (e.g., canceled,

negative, and positive), the initial report to the

employer must be followed by a written

document within 3 business days of the MRO

review. This document must be signed by the

MRO, or for negative results, rubber stamped

by the MRO’s staff.

The MRO must maintain all dated

records and notifications for verified positive

controlled substances test results, identified by

individual, for 5 years.

The MRO must maintain all dated

records and notifications for negative and

cancelled controlled substances test results,

identified by individual, for 1 year.

The MRO must not release the

individual controlled substances test results of

any driver to any person without specific,

written authorization from the tested driver.

However, the MRO must release driverspecific

results to the driver’s employer or Federal,

State, or local officials with regulatory

authority over the controlled substances testing

program. (§382.409(c))

Section 4. TESTINGLABORATORY PROCEDURES

Section 40.43 of the DOT regulation

requires your testing laboratory to maintain a

clear and well-documented procedure for

collecting, shipping and processing urine

specimens. The Federal Drug Testing Custody

Form (CCF) (§40.45) must be used to

document every urine collection required by

the DOT drug testing program and split

specimen collections shall be conducted

(§40.71(a)). The Custody and Control Form

(CCF) is a five-part carbonless manifold form.

• Copy 1 of the CCF and the two

specimen containers are placed in plastic

pouches and inserted in a shipping container

for shipment to a Department of Health and

Human Services laboratory (DHHS). Copy 2

of the CCF goes to the MRO.


Copy 3 of the CCF is retained by the

collection site. Copy 4 of the CCF is

sent to the employer’s Designated

Employer Representative (DER). Copy

5 of the CCF is given to the specimen

donor (§40.73(a)). These multi-part

forms are also described in Chapter 6,

“Controlled Substances Testing

Procedures.”

· The specimen shipping container is

transported by a delivery service

provider to a Department of Health and

Human Services (DHHS) certified

laboratory for processing

(§40.73(a)(2)).

Once the laboratory has satisfactorily

completed testing procedures, it is required to:

• Report the results to your MRO

in a timely manner and is usually done

the same day the review is completed

by the laboratory’s certifying scientist.

Most laboratories will be able to

provide test results within 1-3 days

after receiving specimen unless there is

a problem concerning the specimen

(§40.97).

• Provide you with a semi-annual

statistical summary of all tests

performed (§40.111(a)). This summary

must be forwarded to you by January 20

of each year for period covering July 1

through December 31 of the prior year

and by July 20 of each year of period

covering January 1 through June 30 of

current year.

This report must be part of your program

administration records. The laboratory must

also maintain written procedures on all aspects

of its analysis and testing program.

Testing laboratories must retain

documentation regarding all aspects of their

testing procedures for 2 years, unless you

request them to retain these records for a

longer period, as you might if they are needed

in legal proceedings (§40.109(c)). Positive

specimens must be maintained for 1 year. If a

positive result is challenged in court, the

specimen must be kept indefinitely

(§40.99(c)).

Section 5. ANNUAL CALENDAR

YEAR SUMMARY

When requested by the FMCSA,

another DOT agency, or the Secretary of

Transportation, you must prepare and maintain

an annual summary of the results of your


programs. If the FMCSA requests in writing

that you prepare an annual summary, it must be

completed and reported to FMCSA. The form

and manner of the report will be stated in the

FMCSA’s letter to you. Unless specifically

requested, you must not submit an annual

summary to the FMCSA. Reports submitted to

the FMCSA that have not been requested will

be discarded.

Administration9 - 7

Each year in January, the FMCSA will

notify a select number of employers to submit

their annual summaries. If requested by the

FMCSA to submit your annual report, you

must do so by March 15 of that year. The

information requested by the FMCSA must be

typed, except for the signature of the certifying

official.

If you are a member of a consortium,

your consortium may prepare your annual

report for you. However, you must sign

report, and you are ultimately responsible for

reports prepared or submitted (if requested) on

your behalf by the consortium.

The annual summary must contain all

the information outlined in 49 CFR Part

382.403. This annual summary must be

maintained for 5 years and must be presented

for review upon request from an agent of the

U.S. Department of Transportation. An agent of

the Department may also request a summary be

prepared during a compliance investigation.

Such a summary would, generally, be for a past

calendar year and you will have two business

days from the time the FMCSA agent makes

the request to complete it and provide it to the

agent.

Administration9 - 9

Chapter 9 Appendix

Administration9 - 11

Record Retention Checklists


Record Retention Checklists

Alcohol Program Records You Must Maintain for 1 Year

1. Records of Test Results Less Than 0.02

_____ All copies of the U.S. Department of Transportation (DOT) Breath Alcohol Testing FormOMB No. 2105-0529, including results of the test.

Alcohol Program Records You Must Maintain for 2 Years

1. Records Related to the Collection Process Except Calibration of Evidential Breath TestingDevices

_____ Collection logbooks, if used.

_____ Documents relating to the random selection process.

_____ Documents generated in connection with decisions to administer reasonable suspicionalcohol tests.

_____ Documents generated in connection with decisions on postaccident tests, including butnot limited to

• copies of citation, if given• towing records• medical treatment documentation• copy of accident report.

_____ Documents showing existence of medical explanation of inability of drivers to provideenough breath for test.

Alcohol Program Records You Must Maintain for 5 Years

1. Alcohol Test Records with Alcohol Readings of 0.02 or Greater

_____ All copies of the alcohol test form, including the results of the test.

_____ Documents related to the refusal of any driver to submit to an alcohol test required by49 CFR part 382.


_____ Documents related to a medical inability to provide an adequate breath sample.

_____ Documents presented by a driver to dispute the result of an alcohol test administeredunder 49 CFR part 382.

2. Calibration Documentation

_____ Documents specifying the machine calibrated (e.g., by serial number), the date ofcalibration, the certified technician calibrating the equipment, and the results of thecalibration signed by the calibrating technician.

_____ Manufacturer’s calibration schedule for the model of equipment used.

_____ Certification record for the calibrating technician.

3. Driver Evaluation and Referrals

_____ Records pertaining to a determination by a substance abuse professional concerning adriver’s need for assistance.

_____ Records concerning a driver’s compliance with the recommendations of the substanceabuse professional.


Alcohol Program Records You Must Maintain for as Long as theIndividuals Are Performing the Tasks and for 2 Years After

They Cease Performing the Tasks for the Employer

1. Education and Training Records

_____ Materials on alcohol misuse awareness, including a copy of the employer’s policy onalcohol misuse.

_____ Verification of Breath Alcohol Technician training.

_____ Documentation of compliance with requirements of 49 CFR part 382.

_____ Educational materials that explain the regulatory requirements.

_____ The employer’s policy and procedures with respect to implementing the regulatoryrequirements.

_____ Documentation of training provided to supervisors to qualify them to make reasonablesuspicion determinations.

_____ Documentation of appropriate MRO training.

_____ Training for persons who directly supervise drivers.

_____ Written notice to every driver of the availability of the above materials.

_____ Written notice to all driver organizations (i.e., collective bargaining units) of availabilityof the above materials.

Controlled Substances Program Records You Must Maintain for 1 Year

1. Records of Verified Negative Controlled Substances Test Results

_____ All copies of the Federal Drug Testing Custody and Control Form.


Controlled Substances Program Records You Must Maintain for 2 Years

1. Records Related to the Collection Process

_____ Collection logbooks, if used.

_____ Documents relating to the random selection process.

_____ Documents generated in connection with decisions to administer reasonable-suspicioncontrolled substances tests.

_____ Documents generated in connection with decisions on postaccident testing.

_____ MRO documents showing existence of medical explanation of inability of a driver toprovide enough urine.

Controlled Substances Program Records You Must Maintain for 5 Years

1. Records of Drivers’ Verified Positive Controlled Substances Test Results

_____ All copies of the Custody and Control Form.

_____ Documents related to the refusal of any driver to submit to a required controlledsubstances test.

_____ Documents presented by a driver to dispute the result of a controlled substances testadministered under 49 CFR part 382.

2. Driver Referrals to Substance Abuse Professional and Return to Duty and Follow-Up

_____ Records pertaining to a determination by a substance abuse professional concerning adriver’s suitability to return to work.

_____ Records concerning a driver’s entry into and completion of the program of rehabilitationrecommended by the substance abuse professional.


Controlled Substances Program Records You Must Maintain for as Long as theIndividuals Are Performing the Tasks and for 2 Years After

They Cease Performing the Tasks for the Employer

1. Education and Training Records

_____ Awareness training materials on controlled substances use, including a copy of theemployer’s policy on prohibited use.

_____ Documentation of training provided to supervisors to qualify them to make reasonablesuspicion determinations.

_____ Certification that training complies with the regulatory requirements.

_____ Procedures to assess those with verified positive tests, providing available services,referral, suspension, and dismissal.

_____ Collection site personnel, SAP, and MRO training.

Joining a Consortium10 - 1

Chapter 10.JOINING A CONSORTIUM

Implementing your controlled

substances use and alcohol misuse program is

a significant undertaking. It will involve

planning, contracting, administrative, legal,

and monitoring efforts, which even some large

employers may find among the most complex

and demanding elements of their safety

programs. Small employers may be more

seriously challenged.

One common method of reducing these

challenges and their associated costs is the

Note: The use of a consortia does

not eliminate your compliance

responsibilities under the FMCSA

rules. The consortium is your

agent; you the employer remain

responsible for full compliance.

Joining a Consortium 10 - 2

formation of consortia for testing and related

services. The term consortium is defined by

the FMCSA regulations as including, but not

limited to, a group of employers who join

together to administer DOT drug and alcohol

testing programs. FMCSA encourages all

employers to consider the possible business

advantages of forming or joining consortia.

Moreover, FMCSA requires individual owner/

drivers be in a random pool consisting of two

or more persons (§382.103(b)).

The regulations allow you to form or to

join consortia comprised of employers of any

transportation modes subject to DOT alcohol

and controlled substances testing regulations.

Section 1. ADVANTAGES OFCONSORTIA

Employers that form or join a consortia

generally do so for one or more of the

following reasons:

• Lower costs

• Greater expertise

• Reduced administrative burden.

Lower Costs.

Like all businesses, controlled substances

testing laboratories incur overhead costs (e.g.,

training, recordkeeping, reporting, billing,

and other administrative activities) as part of

doing business. The same is true of collection

sites, BATs, MROs, SAPs. When only a

relatively few tests are conducted or a few

drivers are evaluated, these costs on a per unit

basis can be substantial. When larger numbers

of tests are conducted or drivers are evaluated,

the overhead costs can be spread over a much

larger base, and the per unit costs are

minimized as economies of scale are achieved.

In the extreme case, an employer with a

low volume of business may have difficulty

finding a laboratory to take its business at any

reasonable price. For example, when testing

services are purchased by small employers,

each individual test is likely to cost much more

than it would cost a large employer. The per

test cost for a large purchaser may be a third or

more less than that for a small purchaser.

Consortia allow several small

purchasers to combine their service needs and

to buy in bulk, thereby realizing substantial

savings.

Greater Expertise.

The FMCSA and DOT regulations are

not simple. Although the regulations were

carefully crafted for all employers, experience

from earlier FMCSA programs, from other

transportation modes, and from other industries


indicates that you may experience unusual

situations where it is not clear what your

responsibilities are under the regulations. The

regulations establish minimum standards.

Many decisions are left to local management.

Typically, management’s position will be

reflected in your policy statements and your

operating procedures. Beyond this, however,

neither FMCSA nor any other organization can

anticipate every situation that will arise when

you implement your program.

Many of the issues left to local option

(e.g., number of random pools, when random

testing of long distance drivers will occur) can

have significant effects on program costs and

efficacy and should be carefully considered as

you develop your policy. A consortium,

particularly one with a professional manager,

can help you decide which of the permissible

approaches are best for your company.

Regardless of who has responsibility

for your controlled substances use and alcohol

misuse program, that manager will almost

certainly have additional job responsibilities.

In the cases of small employers and owner

operators, those other responsibilities may be

especially varied, and some of them may be

quite dissimilar from administering a


program.

Joining a consortium allows employers

to pool resources to hire a professional

manager to run the program. Depending upon

the size of the consortium, the manager may be

full or part time, and his or her salary, as well

as consortium expenses, may be recovered

through the money saved on expenditures for

testing services.

A professional consortium manager

does not, for example, have to learn the many

laws, regulations, policies, and procedures

covering day to day fleet operations. His or her

attention need not be diverted by scheduling or

equipment maintenance. The manager can

devote full attention to the testing regulations

and your testing program. He or she can be the

expert in this area, and you can be the expert in

vehicle movement and maintenance.

Reduced Administrative Burden.

The administrative burden of operating

programs in compliance with the regulations

can be substantial. Procuring services, training

employees and program personnel, maintaining

chains of custody, and collection equipment

and facilities, maintaining the random pool and

completing random selection and notification,

quality assurance, and recordkeeping and

reporting can each be time consuming

activities. Taken together, they can be daunting


to an employer that wants to operate a first

class safety program.

A consortium can assume responsibility

for any or all of these activities; and because

the services are provided for all employers as a

whole, the costs to an individual employer are

substantially less than if each employer were to

provide these services on its own.

Beyond cost savings and expertise, is

practicality. Particularly for small employers,

maintaining of a random pool and selecting

drivers for random testing can be difficult.

The regulations permit you to develop a

consortium that pools the drivers of all

consortium members for the purposes of

random testing (§382.305). As a result, it is

easier to test at the required random rates, and

there is more uncertainty regarding who will be

tested.

Even in larger systems, the consortium

approach to managing random selection has an

advantage. Random testing has traditionally

concerned drivers and their representatives.

Some fear that, if an employer wished to target

a driver, the employer could manipulate the

random process to ensure that the driver was

selected repeatedly or at specific times.

Delegation of the random selection process to

the consortium can minimize employer control

and driver concerns.

An employer that employs only

himself/herself as a driver —must join a

random pool consisting of two or more drivers.

The FMCSA believes these individuals, by

definition, cannot select themselves for a

random test. The test therefore cannot be

unannounced and the intent of the random

testing provisions of the law and regulations

cannot be met by individuals who are not

members of a random pool consisting of two or

more drivers.

Similarly, employers who have only a

few drivers must go to extra effort to ensure

that random tests are distributed evenly

throughout the year as required by regulations

(§382.305(k). If an employer must only

complete a few random tests, and those tests

are completed prior to the end of the year, the

employer must complete additional tests that

year or make other special accommodations so

that no driver may be comfortable that all

random testing has been completed for the

year. Because of this, small employers not in

consortia will likely conduct random testing at

effective rates greater than those in the

regulations (currently 10 percent for alcohol

and 50 percent for controlled substances)

(§382.305. Because consortia are designed to

increase the effective size of small employers,

employers who join consortia do not have this

problem and their program costs and

administrative burden will be reduced.


Using a consortium may distance

employers from the actual operation of the

testing program; however, employers remain

responsible for program actions. Therefore,

employers should exercise due diligence in

selecting a consortium and monitor

performance as appropriate. Employers should

consult their attorneys for specific information

regarding how a consortium might best be

structured and operated to minimize liabilities.

As noted before, the use of a consortium does

not eliminate your compliance responsibilities

under FMCSA rules. The consortium is your

agent; you, the employer, remain responsible

for full compliance.

Section 2. ADDITIONALCONSIDERATIONS INESTABLISHING CONSORTIA

Although there are many advantages,

particularly for small employers, in

establishing consortia, the advantages do entail

costs. You should consider the implications of

those costs to your organization prior to

establishing or joining a consortium.

Allowances must be made for

• Shared design

• Reduced control

• Financial considerations.

Shared Design.

As a consortium is essentially a

committee and because compromise is inherent

in the nature of all committees, it is possible

that you may need to compromise on some of

the nonregulated elements of your controlled

substances use and alcohol misuse program

design. For example, you may join a

consortium that has a core of services that

comply with FMCSA and DOT regulations.

Still, that consortium may not offer other

elements (e.g., rehabilitation) that you consider

important in your program.

Reduced Control.

If you operated your own program, the

managers in charge of it would be your

managers, and they would operate according to

your own policies and procedures under your

sole control. This will not be the case in a

consortium. As a result, it will be more

difficult to make changes in the program, and

changes that you do make will take longer than

if you operated your own program.

Conversely, the consortium may make changes

in the program that you do not wish to have

made, but may be powerless to avoid.

Your best protection against this reduced

control is a sound contract with the consortium.

While you still may not be able to make

unilateral changes, at a minimum you can


ensure compliance with all applicable laws and

regulations. You might also limit the ability of

the consortium to make changes without your

approval, and might provide for your timely

withdrawal from the consortium if

circumstances warrant.

Financial Considerations.

Although the net financial results of a

consortium should be to reduce your substance

abuse program costs, financial risks exist.

Failure of some consortium members to pay

their costs may increase the financial burden on

other members under some consortium models.

In addition, it is a common practice for

consortia to require a membership payment in

addition to payments for services as they are

delivered. This membership payment may

support initial services such as policy

development or educational materials.

Charging a membership fee is a reasonable and

common practice, and in virtually all cases, the

membership fee will be less than the initial

investment in an in-house program.

Nonetheless, the membership fee may be

several times the cost of a single controlled

substances test, and small employers who

anticipate joining consortia should expect the

fee and budget accordingly.

Section 3. TYPES OFCONSORTIA

Consortia arrangements can be made to

provide collectively the same types of services

as those available through separate or

individual contract arrangements (e.g.,

education and training, specimen collection,

laboratory analysis, MRO services). There are

a number of models of consortia, each with its

own advantages and disadvantages. The

following are examples of four such models:

• Purchasing cooperative

• Separate entity

• Managing partner

• External management.

Purchasing Cooperative.

In a purchasing cooperative model, the

consortium contracts for services at a volume

price to take advantage of large-volume buying

power and management efficiencies. Suppliers

would deal directly with each employer. This

model is analogous to a cooperative formed by

a group of small retailers to purchase

merchandise at volume discounts. In this case,

the cooperative or consortium negotiates terms

and conditions with suppliers. The actual

orders for and delivery of goods and services,

however, are conducted between the individual

members and the suppliers.


Separate Entity.

If the number of drivers represented by

all consortium members is large enough, it may

be cost effective to form a separate entity. The

consortium hires a manager whose

responsibility it is to provide services at the

cost of purchasing the services, plus the costs

incurred in operating the consortium. An

analogous example is a food cooperative.

Consumers form cooperatives because they

want the highest quality product at the lowest

price.

Managing Partner.

In this model, smaller employers

contract for services with larger employers

subject to DOT controlled substances use and

alcohol misuse testing regulations (e.g., state

DOT, a transit agency, an airline). A large

employer that has the staff and resources to

service its own controlled substances use and

alcohol misuse testing program may also be

able to sell surplus staff time to small

employers, thereby providing an economic

benefit to both. This model is analogous to a

limited partnership in which investors pool

resources. Usually the

investor with the greatest investment becomes

the managing partner with the responsibility of

managing and making decisions for the

partnership.

External Management/Third-Party

Administrators.

Under this model, employers contract

with a company that provides the services

desired. The management company should

have demonstrated expertise in the

transportation substance abuse field. This

model is analogous to a pension fund

management service or an insurance health

benefits manager. A given management

company may operate more than one

consortium. External management may be

considered both by consortia and by individual

employers.

A consortium of organizations with a

full time controlled substances use and alcohol

misuse program manager provides the

members with specialized expertise without

each member having to hire its own specialist

to run a program. This can often prove cost-

effective since it spreads administrative costs

over a greater base, while providing greater

expertise than any consortium member is likely

to have on its staff without additional hiring.

In many cases, establishing a consortium

will require forming a legal entity. The

consortium would probably operate as a

nonprofit corporation. The consortium would

have power to conduct business for its

members, enter into contracts, and be their


legal representative according to a charter and

bylaws. A governing board of the members

would be responsible for managing the

consortium.

Several nationally based third party

managers provide “turn key” services for

employers and consortia seeking external

management. The FMCSA does not

recommend specific providers so those

companies’ names are not listed here.

However, most of them are represented at

major industry trade shows. These external

managers may operate consortia themselves or

may facilitate your entry into an existing

consortium that they operate or provide

services to. In addition, some DHHS approved

laboratories operate consortia and provide

external management services.

Section 4. THE IMPORTANCE OF

YOUR CONSORTIUM CONTRACT

Regardless of the model of consortium

you select, you should realize that you are

entering into a contractual relationship, and

your interests should be protected. Although

you are implementing the regulations through a

consortium, you remain responsible to FMCSA

for implementing those regulations.

This means that if the consortium is

implementing some aspect of the program

incorrectly, you are implementing it incorrectly

and could be subject to fines and penalties. You

should exercise due diligence in selecting a

consortium and in monitoring consortium

operations.

Depending upon your needs and those

of other consortium members, you may

purchase a variety of required or optional

services from the consortium. Also, depending

upon how the consortium is structured, you

may be required to purchase all services or may

only purchase those you require on an as

needed basis. A menu of services might include

any or all of the following:

• Policy development

• Program implementation

• DHHS certified laboratory

specimen analysis

• Collection services

• Mobile or on site collection

services

• BAT (breath analysis technician)

• EBT (evidentiary breath testing)

equipment

• SAP (Substance Abuse

Professional)

• MRO (Medical Review Officer)

• Supervisor training

• Driver education


• The specific services you are

purchasing.

• The price you will pay and how it

is calculated, the schedule upon

which you will pay, and any

discounts to which you may be

entitled.

• That all services will be delivered

in accordance with 49 CFR parts

40 and 382, and other applicable

Federal, State and local laws and

regulations; that it is the

responsibility of the consortium

manager to stay current on these

requirements; and that the

consortium manager will

immediately change consortium

policies and procedures to comply

with changes in laws and

• Employee Assistance Program

alternatives

• Consultation services

• Random testing—pool

management selection and

administration

• Quality control (blind sample)

programs for controlled substances

testing

• Recordkeeping

• Federal report preparation.

Regardless of the services you obtain

from the consortium, however, you must have a

written contract with the consortium manager

(§382.401(c)(6)(i)). The contract should

specify


regulations. You may agree to

renegotiate fees retroactively to the

date of the change within 45 days

after the change becomes effective

if sufficient time is not available

prior to the change.

• The contract term. Because

controlled substances testing

prices have fallen steadily, it is

probably in your best interest not

to negotiate for a term of more

than one year unless you have the

right to renegotiate price at the end

of a year. It is anticipated that

initial alcohol testing costs will

also decline over several years.

Both parties should have the right

to break the contract for cause, and

you should be able to withdraw on

60 days written notice.

• Record review. You should

reserve the right to examine

consortium facilities, records, and

procedures. Review of BAT, urine

collection site service records,

MRO files, SAP files and

laboratory reports may be

conducted by an employer official

or a third party authorized to

access such confidential records

and who will hold personal

information in confidence.

• Periodic reporting. You should

require the consortium to provide

periodic reports of consortium

activities related to your

organization. If those services

include testing or training, the

reports should be in a format

analogous to the annual summaries

you may be required by FMCSA to

submit. The consortium should be

responsible for preparing

appropriate parts of the MIS report

that the employer may be required

to submit (§382.403).

• Timeliness requirements. Since

the consortium potentially adds an

additional administrative layer to

your testing program, you must

ensure that it acts expeditiously to

avoid negative effects on your

drivers or your operations through

unnecessary reporting delays. You

may wish to negotiate liquidated

damages clauses for consortium

failures in this area.

• Quality control requirements. The

consortium should implement

appropriate quality control

procedures, including blind sample

laboratory specimens for


controlled substances testing, as

required in Part 40.

Section 5. HOW TO EXPLORE

CONSORTIA FURTHER

If you think that a consortium is an

option your company should consider, some

actions you might take include include the

following:

• Contact other employers

participating in consortia, ask

about their experiences, and find

out whether their approaches

might work for you.

• Consider which of the consortium

models might best serve your

needs. An informed purchasing

cooperative may meet the needs of

many employers.

Separate Entity Model.

If you believe the separate entity model

might be best, you have two options: to create

or to buy. There may be an existing

consortium, perhaps providing testing services

to State government or to another

transportation mode, that you might join.

Remember, though, other transportation

modes subject to their own DOT regulations

may have regulatory requirements that differ

from those promulgated by FMCSA. For

example, over time random testing rates will be

adjusted separately for each of the

transportation modes, based upon the test

results of the modes’ respective industries.

Therefore, even though an employer or

consortium in another industry may comply

with FMCSA regulations today, it may not in

the future.

You must ensure that the consortium

will comply with the FMCSA regulations in all

respects. In addition, if the existing

consortium does not provide all required

services, you must make separate arrangements

for those services. Your system might provide

them internally or purchase them elsewhere.

Forming your own consortium from

scratch might be the best approach for ensuring

that the consortium will be fully compliant

with FMCSA regulations. If you pursue this

model, you will need to identify other

employers interested in participating. Your

personal network, statewide industry

association, or State department of

transportation may be useful in identifying

other interested employers, just as they


might be useful in helping you identify existing

consortia that you might choose to join.

Managing Partner Model.

If you are a small employer with a

neighboring large employer, this may be a

particularly attractive model. Contact the large

employer to determine how that operator is

implementing the controlled substances use and

alcohol misuse regulations. Large employers

may have had their own programs for many

years. They may be able to accommodate your

needs fairly effortlessly and inexpensively.

External Management Model.

This model is really a subcategory of the other

models. Each of the other models might

be internally or externally managed. Indeed,

even in the absence of a consortium, an

individual employer might choose to contract

out the management of its controlled

substances use and alcohol misuse program.

Several national and regional management

companies provide services of varying quality

in this area. Some are excellent and may

provide you with a better program than you

could operate on your own. Others may leave

you out of compliance with the FMCSA

regulations and subject to fines and

penalties. The experience of other employers,

particularly those employing CDL holders, will

be your best guide. As you select a

management company, remember to check

references thoroughly and to employ a detailed

written contract specifying your requirements.


Federal Motor Carrier Safety Administration400 7th Street, S.W.

Washington, DC 20590